Ny Form Cadv - Commodity Investment Advisor Statement Page 2
ADVERTISEMENT
1
2
3
4
5business of another commodity investment advisor within the last five years? [ ] yes
[ ] no. If yes, provide details.
Filing Fee Enclosed as
Please indicate to whom you wish
Follows:
ommodity Investment Advisor
the fee receipt sent.
Statement ............ $100
( ) Attorney
( ) Firm
Personal checks not accepted.
Send remittance to:
Attorney's check, bank check,
Bureau of Investor Protection
certified check, money order
and Securities, 23rd Floor
N.Y.S. Office of the Attorney
only, payable to the N.Y.S.
General
Office of the Attorney
120 Broadway
General
New York, NY 10271
** Found on the fee receipt you received for original filing.
7. Has the advisor, within the last five years, discontinued business, changed its
name or merged with another company? [ ] yes [ ] no. If yes, provide details.
8. The following is a complete list of the names and equity interests of all officers,
directors, principals, partners, managers, supervisors or any 10% or more equity
holder. For each person listed, submit form CI-1.
9. The advisor [ ] is [ ] is not registered with the SEC as an Investment Advisor. If
registered, the advisor [ ] does; [ ] does not use the title "Investment Counsel" under
Section 208 (c) of the Federal Investment Act of 1940.
10. The advisor [ ] is [ ] is not registered with the CFTC.
11. The commodity investment advisor is licensed or registered to do business as
such in the following states:
PART II. BACKGROUND OF PRINCIPALS AND EMPLOYEES
12. State whether any individual named in Questions 8 or 9, or any entity in which
such individual was a principal has ever:
A. been suspended or expelled from membership in any securities or
commodities exchange, association of securities or commodities dealers or
investment or commodities trading advisors or counsel? ............
Yes [ ] No [ ]
B. had a license or registration as a securities or commodity dealer, broker,
investment advisor, salesperson, futures commission merchant, associated
ADVERTISEMENT
0 votes
Related Articles
Related forms
Related Categories
Parent category: Legal