Uniform Application For Securities Industry Registration Or Transfer
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8FORM U4
UNIFORM APPLICATION FOR SECURITIES INDUSTRY REGISTRATION OR TRANSFER
U4 AMENDMENT 02/24/2015
Rev. Form U4 (05/2009)
Individual Name: TWINING, PETER PRATT (4592806)
Firm Name: HILLTOP FINANCIAL CONSULTING LLC (139858)
1. GENERAL INFORMATION
First Name:
Middle Name:
Last Name:
Suffix:
PETER
PRATT
TWINING
Firm CRD #:
Firm Name:
Employment Date
:
(MM/DD/YYYY)
139858
HILLTOP FINANCIAL CONSULTING LLC
03/01/2006
Firm Billing Code:
Individual CRD #:
Individual SSN:
4592806
xxxxxxxxx
Do you have an independent contractor relationship with the above named firm?:
Yes
No
Office of Employment Address
CRD Branch # NYSE Branch Code # Firm Billing Code Address
Private Residence Type of Office Start Date
End Date
IA Main
205 WILLOW STREET
N
Located At
03/01/2006
BOX 3
HAMILTON , MA 019822255
UNITED STATES
2. FINGERPRINT INFORMATION
Electronic Filing Representation
By selecting this option, I represent that I am submitting, have submitted, or promptly will submit to the appropriate SRO a fingerprint card as required
under applicable SRO rules; or
Fingerprint card barcode
By selecting this option, I represent that I have been employed continuously by the filing firm since the last submission of a fingerprint card to CRD and
am not required to resubmit a fingerprint card at this time; or,
By selecting this option, I represent that I have been employed continuously by the filing firm and my fingerprints have been processed by an SRO other
than FINRA. I am submitting, have submitted, or promptly will submit the processed results for posting to CRD.
Exceptions to the Fingerprint Requirement
By selecting one or more of the following two options, I affirm that I am exempt from the federal fingerprint requirement because I/filing firm currently
satisfy(ies) the requirements of at least one of the permissive exemptions indicated below pursuant to Rule 17f2 under the Securities Exchange Act of
1934, including any notice or application requirements specified therein:
Rule 17f2(a)(1)(i)
Rule 17f2(a)(1)(iii)
Investment Adviser Representative Only Applicants
I affirm that I am applying only as an investment adviser representative and that I am not also applying or have not also applied with this firm to become
a brokerdealer representative. If this radio button/box is selected, continue below.
I am applying for registration only in jurisdictions that do not have fingerprint card filing requirements, or
I am applying for registration in jurisdictions that have fingerprint card filing requirements and I am submitting, have submitted, or promptly will
submit the appropriate fingerprint card directly to the jurisdictions for processing pursuant to applicable jurisdiction rules.
3. REGISTRATIONS WITH UNAFFILIATED FIRMS
Some jurisdictions prohibit "dual registration," which occurs when an individual chooses to maintain a concurrent registration as a representative/agent with
two or more firms (either BD or IA firms) that are not affiliated. Jurisdictions that prohibit dual registration would not, for example, permit a brokerdealer
agent working with brokerage firm A to maintain a registration with brokerage firm B if firms A and B are not owned or controlled by a common parent.
Before seeking a dual registration status, you should consult the applicable rules or statutes of the jurisdictions with which you seek registration for
prohibitions on dual registrations or any liability provisions.
Please indicate whether the individual will maintain a "dual registration" status by answering the questions in this section. (Note: An individual should answer
'yes' only if the individual is currently registered and is seeking registration with a firm (either BD or IA) that is not affiliated with the individual's current
employing firm. If this is an initial application, an individual must answer 'no' to these questions; a "dual registration" may be initiated only after an initial
registration has been established).
Answer "yes" or "no" to the following questions:
Yes No
A. Will applicant maintain registration with a brokerdealer that is not affiliated with the filing firm? If you answer "yes," list the firm(s) in Section 12
(Employment History).
B. Will applicant maintain registration with an investment adviser that is not affiliated with the filing firm? If you answer "yes," list the firm(s) in
Section 12 (Employment History).
4. SRO REGISTRATIONS
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