Application For Registration, Renewal Or Amendment To An Application Of Investment Adviser - Commonwealth Of Puerto Rico Page 5
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9Form R-3
Rev. 03/13
15.
Is applicant registered as a broker- dealer or investment adviser with the Securities and Exchange Commission?
If so, when did the application for such registration become effective? ________________________________
16.
(a)
Does applicant give continuous advice to clients as to the investment of funds on the basis of the
individual needs of each client?
. If so, state in detail the basis of
compensation, how fees will be computed, the period covered by each fee, and when fees are payable.
____________________________________________________________________________________
___________________________________________________________________________________
____________________________________________________________________________________
(b)
Does applicant manage securities accounts for clients under circumstances not involving the giving of
continuous advice to clients as to the investment of funds or on the basis of the individual needs of each
client?
. If so, describe the nature of this activity and state in detail
the basis of compensation, how fees will be computed, the period covered by each fee and when are fees
payable.
___________________________________________________________________________________
___________________________________________________________________________________
____________________________________________________________________________________
(c)
Does applicant furnish investments advice through consultations (Not as part of (a) or (b) above)?
If so, state basis of compensation.
___________________________________________________________________________________
____________________________________________________________________________________
(d)
Does applicant issue periodic publications relating to securities on a subscription basis? _____________
If so, furnish the name of the publication, subscription price, and period covered of the subscription.
___________________________________________________________________________________
___________________________________________________________________________________
____________________________________________________________________________________
(e)
Does applicant prepare or issue special reports or analyses relating to securities not included in any
service described above? ______________________ If so, state price, fee or basic compensation.
___________________________________________________________________________________
___________________________________________________________________________________
____________________________________________________________________________________
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