Form Lt-1 - Uniform Application To Offer Or Sell Living Trusts (Page 2 of 2) in pdf

Form Lt-1 - Uniform Application To Offer Or Sell Living Trusts Page 2

FORM LT-1

Applicant:

Date:

Page 2

8. Applicant is registered in the state of Montana as an:

A. ___ Investment Advisor

Name under which registered:

Firm's SAO No

B. ___ Investment Advisor Representative

Name of affiliated IA Firm:

Firm's SAO No

Applicant's SAO No

9. Applicant has arrangements material to its offering and sales of living trusts with a person or firm who is:

___ a licensed attorney

___ a certified public accountant

___ a certified financial planner

___ a trust company

___ a bank or thrift institution

___ a broker dealer

___ an insurance company

___ other

FOR EACH ITEM CHECKED IN ITEM (9), IDENTIFY ON SCHEDULE B, THE PERSON OR FIRM AND DESCRIBE

THE RELATIONSHIP AND THE ARRANGEMENT.

10. Client Services.

Applicant:

___ prepares living trust documents for clients

___ manages client assets placed in trust

___ provides estate planning advice to clients

___ other

FOR EACH ITEM CHECKED IN ITEM (10), DESCRIBE ON SCHEDULE B THE SERVICE PROVIDED AND THE

APPLICANT'S BASIC FEE SCHEDULE, AND HOW FEES ARE CHARGED.

11. Marketing.

In relation to the offer and sale of living trusts, the applicant:

___ holds seminars

___ makes phone solicitation

___ publishes newsletter

___ advertises in newspaper or other publications

___ employs others to solicit business

___ distributes brochures or other material

___ other (explain on schedule B)

PURSUANT TO RULE 6.12.1205, ARM, SALES AND PROMOTIONAL MATERIALS USED IN CONNECTION TO THE

OFFER OR SALE OF LIVING TRUSTS MUST BE FILED WITH THE STATE AUDITOR AT LEAST TEN (10) DAYS

PRIOR TO USE IN THIS STATE.

Form Lt-1 - Uniform Application To Offer Or Sell Living Trusts Page 2