Uniform Application For Securities Industry Registration Or Transfer Page 5
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8REQUESTS WITH AFFILIATED FIRMS). Include all firm(s) from Section 3 (REGISTRATION WITH UNAFFILIATED FIRMS). Account for all time including full and
parttime employments, selfemployment, military service, and homemaking. Also include statuses such as unemployed, fulltime education, extended travel,
or other similar statuses.
Report changes as they occur.
From
To
Name of Firm or Company
InvestmentRelated
City
State Country Position
business?
01/2006 PRESENT HILLTOP FINANCIAL CONSULTING LLC
HAMILTON MA
USA
PRESIDENT
Yes
No
09/2002 12/2005 1717 CAPITAL MANAGEMENT
BOSTON
MA
USA
REG REP
Yes
No
01/2002 12/2005 STONE/TWINING LEGAL RECRUITING &
BOSTON
MA
USA
PRINCIPAL/RECRUITER
Yes
No
CONSULTING LLC
09/2002 12/2005 PROVIDENT MUTUAL
BOSTON
MA
USA
AGENT
Yes
No
02/1998 12/2001 STONE LEGAL RESOURCES GROUP
BOSTON
MA
USA
SR. VP PRINCIPAL
Yes
No
01/1997 02/1998 ALAN R. STONE ATTORNEY PLACEMENT
BOSTON
MA
USA
CONSULTANT
Yes
No
01/1987 01/1997 COPLEY REAL ESTATE ADVISORS
BOSTON
MA
USA
GENERAL
Yes
No
COUNSEL/PRINCIPAL
13. OTHER BUSINESS
Are you currently engaged in any other business either as a proprietor, partner, officer, director, employee, trustee, agent or otherwise? (Please exclude non
investmentrelated activity that is exclusively charitable, civic, religious or fraternal and is recognized as tax exempt.) If YES, please provide the following
details: the name of the other business, whether the business is investmentrelated, the address of the other business, the nature of the other business, your
position, title, or relationship with the other business, the start date of your relationship, the approximate number of hours/month you devote to the other
business, the number of hours you devote to the other business during securities trading hours, and briefly describe your duties relating to the other business.
Yes
No
TRUSTEE OF VARIOUS PRIVATE TRUSTS AND BOARD DIRECTORSHIPS. NAME: PETER TWINING; INVESTMENTRELATED; 88 NORTH RIDGE RAOD, IPSWICH,
MA; TRUSTEE/DIRECTOR' 5/1999PRESENT; 35 HOURS PER WEEK
14. DISCLOSURE QUESTIONS
IF THE ANSWER TO ANY OF THE FOLLOWING QUESTIONS IS 'YES', COMPLETE DETAILS OF ALL EVENTS OR PROCEEDINGS ON APPROPRIATE
DRP(S)
REFER TO THE EXPLANATION OF TERMS SECTION OF FORM U4 INSTRUCTIONS FOR EXPLANATIONS OF ITALICIZED TERMS.
Criminal Disclosure
14A. (1) Have you ever:
YES NO
(a) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony?
(b) been charged with any felony?
(2) Based upon activities that occurred while you exercised control over it, has an organization ever:
(a) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic or foreign court to any felony?
(b) been charged with any felony?
14B. (1) Have you ever:
(a) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign or military court to a misdemeanor involving:
investments or an investmentrelated business or any fraud, false statements or omissions, wrongful taking of property, bribery, perjury,
forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?
(b) been charged with a misdemeanor specified in 14B(1)(a)?
(2) Based upon activities that occurred while you exercised control over it, has an organization ever:
(a) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic or foreign court to a misdemeanor specified in 14B(1)
(a)?
(b) been charged with a misdemeanor specified in 14B(1)(a)?
Regulatory Action Disclosure
14C.
Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
YES NO
(1) found you to have made a false statement or omission?
(2) found you to have been involved in a violation of its regulations or statutes?
(3) found you to have been a cause of an investmentrelated business having its authorization to do business denied, suspended, revoked,
or restricted?
(4) entered an order against you in connection with investmentrelated activity?
(5) imposed a civil money penalty on you, or ordered you to cease and desist from any activity?
(6) found you to have willfully violated any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment
Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, or any rule or regulation under any of such
Acts, or any of the rules of the Municipal Securities Rulemaking Board, or found you to have been unable to comply with any provision of
such Act, rule or regulation?
(7) found you to have willfully aided, abetted, counseled, commanded, induced, or procured the violation by any person of any provision of
the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of
1940, the Commodity Exchange Act, or any rule or regulation under any of such Acts, or any of the rules of the Municipal Securities
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