Please complete this form on a device with a mouse. Some answers allow you to select multiple options from a list which is difficult without a mouse.

Some state securities regulators require fingerprint cards when registering as an investment advisor representative. An investment advisor representative applicant should review the most recent investment advisor representative registration requirements published by the applicable state securities regulator where he or she is requesting registration.

As a federal advisor, our investment advisor representatives are only required to register in a state where they have a place of business or residence, with the exception of Texas. If an investment advisor representative has clients in Texas but no place of business, they must still register with the state.

Starting with the most recent address, provide all addresses for the past five (5) years. Changes must be reported as they occur. If more room is needed, please enter addresses in final comment section of this form.

Provide complete employment history for the past ten (10) years starting with the most recent. Account for all time including full and part-time employments, self-employment, military service, and homemaking. Also include statuses such as unemployment, full-time education, extended travel, or similar statuses. If you are using a DBA, please list the company as part of your employment history below. Changes must be reported as they occur. If more room is needed, please enter additional employment history in final comment section of this form.

Please read each question carefully and select the "Yes" radio button if it applies. If the answer to any question is “Yes,” additional details may be requested. Please note that the question numbers begin at 14 and correspond with the system in which the U4 is filed. There are no missing questions before 14A(1)(a).