Name any employees of applicant who perform investment advisory work. __________________________
State whether applicant, any predecessor of applicant, any employees, or any person named in items 6 to 12:
Has ever been convicted of any misdemeanor involving a security
or any aspect of the securities business.
Has ever been convicted of any felony.
Has ever been permanently or temporarily enjoined from engaging
in, or continuing any conduct or practice involving any aspect
of the securities business.
Has ever been the subject of an order of the Commissioner denying,
suspending or revoking registration as a broker-dealer, agent or
Has ever been the subject of an order entered by the Securities
Administrator of any other state or by the Securities and Exchange
Commission denying or revoking registration as a broker-dealer,
agent or investment adviser.
Has ever been adjudicated as bankrupt or insolvent
Has ever been censured or fined, suspended or expelled by any
association of investment advisers.
Has ever been the subject of a United States Post Office Fraud Order.
Has ever been sued civilly for fraud, deceit or misrepresentation.
If the answer to any question is affirmative, furnish the complete details, including the date and the current status of the
case, on a separate attached sheet.
Is applicant a successor to another organization?
If so, furnish the name of such firm, the date in which the
applicant succeeded to the business of such firm, the reason for such succession and the method by which