Registered Investment Advisor

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61Microsoft Word - Bentsen-BPC-Remarksdocx

Microsoft Word - Bentsen-BPC-Remarksdocx

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Source URL: www.sifma.org

Language: English - Date: 2015-05-27 11:07:39
62APPENDIX A FORM ADV (Paper Version) • •

APPENDIX A FORM ADV (Paper Version) • •

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Source URL: www.sec.gov

Language: English - Date: 2015-05-20 16:58:25
63Kevin J. Miller Senior Vice President General Counsel Kevin joined Securities America in 2000 and brings more than 23 years of legal and compliance experience to the company. As the general counsel, Kevin is responsible

Kevin J. Miller Senior Vice President General Counsel Kevin joined Securities America in 2000 and brings more than 23 years of legal and compliance experience to the company. As the general counsel, Kevin is responsible

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Source URL: www.securitiesamerica.com

Language: English - Date: 2014-07-24 12:14:56
64

PDF Document

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Source URL: edgar.sec.gov

Language: English - Date: 2015-04-28 14:56:21
65UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT COMPANY ACT OF 1940 Release NoApril 21, 2015 ADMINISTRATIVE PROCEEDING

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT COMPANY ACT OF 1940 Release NoApril 21, 2015 ADMINISTRATIVE PROCEEDING

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Source URL: www.sec.gov.

Language: English - Date: 2015-04-21 19:45:43
66UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoMarch 24, 2015 The Securities and Exchange Commission (“Commission”) announced the temporary

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoMarch 24, 2015 The Securities and Exchange Commission (“Commission”) announced the temporary

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Source URL: edgar.sec.gov

Language: English - Date: 2015-03-24 06:14:33
67Professional Continuing Education Record Keeping Requirements It is the firm conviction of the International Association of Registered Financial Consultants that continuing education by the professional financial advisor

Professional Continuing Education Record Keeping Requirements It is the firm conviction of the International Association of Registered Financial Consultants that continuing education by the professional financial advisor

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Source URL: www.financialsoftware.com

Language: English - Date: 2012-11-15 15:02:44
68UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoApril 13, 2015

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoApril 13, 2015

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Source URL: edgar.sec.gov

Language: English - Date: 2015-04-13 16:03:03
69UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release NoFebruary 23, 2015 SECURITIES EXCHANGE ACT OF 1934

UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release NoFebruary 23, 2015 SECURITIES EXCHANGE ACT OF 1934

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Source URL: edgar.sec.gov

Language: English - Date: 2015-02-23 17:18:36
70Media Kit Real Assets Adviser Welcome to an exciting new magazine to help you get your message in front of the fee-based financial and wealth advisory

Media Kit Real Assets Adviser Welcome to an exciting new magazine to help you get your message in front of the fee-based financial and wealth advisory

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Source URL: www.irei.com

Language: English - Date: 2014-10-23 14:54:31