Outside Business Activity And Dba Form Page 3

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14. Does/Will any other FAF representative have any ownership interest, beneficial interest or any control of this
entity?
YES
NO If YES, state the name of the Representative:
____________________________________
15. Does/Will any FAF or Chief Advisor customer have any ownership interest, beneficial interest or any control of
this entity?
YES
NO
16. Was the individual who introduced you to this OBA a current or former customer of the firm?
YES
NO
If YES, please provide the name of the individual and description of the customer relationship:
17. Describe as completely as possible the business/activities of the OBA:
18. Will you be marketing a product or service for this OBA?
YES
NO If YES, describe the product or
service:
______________________________________________________________________________________
Please identify and provide a copy of any marketing material, sales literature or business cards associated with
this OBA.
19. Will/Have you marketed, solicited, or sold the product and services of this company to any firm Representatives
or clients?
YES
NO (If YES, please provide customer names and Firm products owned by the
customers.)__________________________________________________________________________________
20. Describe as completely as possible your functions/duties/responsibilities in this OBA:
______________________________________________________________________________________________
21. Are you required to hold any licenses, registration or professional designations to market this product or services?
YES
NO If YES, describe: ___________________________________________________________
22. What do you anticipate the annual income/compensation from this OBA to be? $________________________
23. Describe, in detail, the steps you will take to ensure potential customer, Firm customers and/or Firm
Representatives understand that this OBA has no relation to your affiliation with the Firm:
24. Between 8:30 AM CST and 3:00 PM CST how hours each month do you plan to devote to your OBA?
___________ hours
How many hours TOTAL each month do you plan to devote to your OBA?
_______hours
25. Describe, in detail, how this proposed activity will not interfere with or other compromise your responsibilities to
the Firm and/or the Firm’s customers:
26. Will you be involved in, or have you in the past been involved in:
a. Raising money, funds, investments, or any other capital from any person for this business?
YES
NO
b. Referring any person to any other person or entity seeking money funds, investments or any other capital
for investment in this business?
YES
NO
27. Are you aware of any members of the public who have invested in this business?
YES
NO
If YES, please identify the person(s) and specify the amount invested and the date of the investment:
M:FAFSERVER DOCSFIRST ASSET FINANCIALFAF FormsRep Outsde Activity FormsOutside Business Activity Form 8-13.doc
3

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