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IA- West Virginia Investment Adviser Branch Office Registration Form

IA- West Virginia Investment Adviser Branch Office Registration Form

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Connexien

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IA- Statement of Periodic Testing of BCP & Regulation S-P

IA- Statement of Periodic Testing of BCP & Regulation S-P

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Connexien

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IA- Investment Adviser State Registration Requirements

IA- Investment Adviser State Registration Requirements

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IA- Due Diligence Checklist for Third-Party Service Providers

IA- Due Diligence Checklist for Third-Party Service Providers

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DE- Delaware Notice of Limited Offering Exemption Form-LOE

DE- Delaware Notice of Limited Offering Exemption Form-LOE

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Connexien

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BD- Written Supervisory Procedure (WSP) Attestation

BD- Written Supervisory Procedure (WSP) Attestation

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BD- Small Firm Annual Compliance Meeting & Training Packet

BD- Small Firm Annual Compliance Meeting & Training Packet

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Connexien

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BD- Hawaii Waiver Eligibility Cert. for Filing of Annual Report of Condition

BD- Hawaii Waiver Eligibility Cert. for Filing of Annual Report of Condition

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BD- District of Columbia (DC) Broker-Dealer Clean Hands Form

BD- District of Columbia (DC) Broker-Dealer Clean Hands Form

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Connexien

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BD- Customer Verification of Account Information & Update Form (36-Month Mailer)

BD- Customer Verification of Account Information & Update Form (36-Month Mailer)

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Connexien

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2024 Investment Adviser Annual Compliance Calendar

2024 Investment Adviser Annual Compliance Calendar

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Connexien

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Virginia Broker-Dealer Agent Employed by More Than One BD

Virginia Broker-Dealer Agent Employed by More Than One BD

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Connexien

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UT- Utah Registration by Coordination Certification Form 10-2-1B

UT- Utah Registration by Coordination Certification Form 10-2-1B

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Connexien

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OR- Oregon Intrastate Offering Registration Exemption Form

OR- Oregon Intrastate Offering Registration Exemption Form

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Connexien

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MI- Michigan Uniform Consent to Service of Process Form U-2

MI- Michigan Uniform Consent to Service of Process Form U-2

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Connexien

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IA-Oregon Investment Adviser Representative – Salesperson Renewal Form

IA-Oregon Investment Adviser Representative – Salesperson Renewal Form

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Connexien

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IA- Non-Disclosure Agreement (NDA) for Nonpublic Personal Information

IA- Non-Disclosure Agreement (NDA) for Nonpublic Personal Information

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Connexien

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IA- Massachusetts Criminal Offender Record Information (CORI) Acknowledgement Form

IA- Massachusetts Criminal Offender Record Information (CORI) Acknowledgement Form

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Connexien

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IA- Investment Adviser Year-End Compliance Checklist

IA- Investment Adviser Year-End Compliance Checklist

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Connexien

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IA- Investment Adviser Rep Annual Compliance Certification

IA- Investment Adviser Rep Annual Compliance Certification

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Connexien

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IA- Investment Adviser Registration Questionnaire

IA- Investment Adviser Registration Questionnaire

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Connexien

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IA- Investment Adviser Pre-Clearance Trade Request Form

IA- Investment Adviser Pre-Clearance Trade Request Form

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Connexien

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IA- Investment Adviser Monthly Compliance Review Checklist

IA- Investment Adviser Monthly Compliance Review Checklist

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Connexien

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Investment Adviser Initial/Annual Holdings Report

Investment Adviser Initial/Annual Holdings Report

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Connexien

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IA- Investment Adviser Annual Compliance Meeting (ACM) Packet

IA- Investment Adviser Annual Compliance Meeting (ACM) Packet

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Connexien

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IA- District of Columbia Investment Adviser Representative Affidavit Update

IA- District of Columbia Investment Adviser Representative Affidavit Update

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Connexien

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IA- Connecticut Investment Adviser Agent Registration Requirements

IA- Connecticut Investment Adviser Agent Registration Requirements

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Connexien

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IA- Colorado Investment Adviser Uniform Surety Bond Form U-SB

IA- Colorado Investment Adviser Uniform Surety Bond Form U-SB

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Connexien

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IA- Colorado Investment Adviser Cybersecurity Checklist and Rules

IA- Colorado Investment Adviser Cybersecurity Checklist and Rules

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Connexien

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IA- California State Investment Adviser Compliance Manual (without Exhibits)

IA- California State Investment Adviser Compliance Manual (without Exhibits)

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Connexien

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FL- Florida Uniform Application to Register Securities Form U-1

FL- Florida Uniform Application to Register Securities Form U-1

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Connexien

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DU- Form CRS Relationship Summary Template for Dual Registrants

DU- Form CRS Relationship Summary Template for Dual Registrants

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Connexien

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Broker-Dealer OSJ Branch Preliminary Audit Questionnaire (PAQ)

Broker-Dealer OSJ Branch Preliminary Audit Questionnaire (PAQ)

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Connexien

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Broker-Dealer Reg BI (Care Obligation) Due Diligence Checklist

Broker-Dealer Reg BI (Care Obligation) Due Diligence Checklist

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Connexien

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BD- SEC Form 17-H

BD- SEC Form 17-H

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Connexien

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BD- SEC Broker-Dealer Withdrawal Form BDW

BD- SEC Broker-Dealer Withdrawal Form BDW

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Connexien

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