Application For Registration, Renewal Or Amendment To An Application Of Investment Adviser - Commonwealth Of Puerto Rico Page 3

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Form R-3
Rev. 03/13
6.
If Applicant is a corporation, state the name, CRD No. or S.S. # of each officer, director and persons with
similar status or functions.
______________________________________________________________________________________
______________________________________________________________________________________
______________________________________________________________________________________
7.
If Applicant is a corporation, give the name of each person owning directly or indirectly 10% or more of
any class of any equity securities of Applicant. As to each person indicate class of security, the number of
shares and the percentage ownership of such person in relation to the number of shares outstanding.
______________________________________________________________________________________
____________________________________________________________________________________
______________________________________________________________________________________
8.
If Applicant is a partnership, give the name and title of each partner.
______________________________________________________________________________________
______________________________________________________________________________________
9.
If Applicant is a sole proprietorship, give the name, date and place of birth of the proprietor.
______________________________________________________________________________________
______________________________________________________________________________________
10.
If Applicant is other than a sole proprietor, partnership or corporation, give full name of each person or
trustee who directs, manages or participates in directing or managing its affairs.
______________________________________________________________________________________
______________________________________________________________________________________
11.
Name persons not included in items 6 to 10 who control, directly or indirectly, the business of applicant. If
none, please indicate.
______________________________________________________________________________________
______________________________________________________________________________________

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