Looking for a Ohio Legal Forms And Templates? Download it for free!

Form Com 4751 - Form Srsio State Retirement System Investment Officer - Ohio Dept.of Commerce Page 2

Earned, and is in good standing with the organization that issued, any one of

the following credentials:

"Certified Financial Planner" awarded by the "Certified Financial Planner

Board of Standards, Inc.";

Chartered financial analyst designation;

Chartered financial consultant;

Chartered investment counselor; or

Certified public accountant with a personal financial specialist

designation.

For applicants employed by a state retirement system on, or after, September 15, the

applicant must have either:

Achieved a passing score on one of the following examinations:

The series 63 examination administered by the National Association of

Securities Dealers, Inc.

The series 65 examination administered by the National Association of

Securities Dealers, Inc.

The series 66 examination administered by the National Association of

Securities Dealers, Inc.

The level one examination administered by the CFA Institute; or

Earned, and is in good standing with the organization that issued, any one of

the following credentials:

"Certified Financial Planner" awarded by the "Certified Financial Planner

Board of Standards, Inc.";

Chartered financial analyst designation;

Chartered financial consultant;

Chartered investment counselor; or

Certified public accountant with a personal financial specialist

designation.

PART IV: Disclosure

Have you ever been found guilty of any felony? Have you ever been found guilty of any

misdemeanor involving theft, deception or moral turpitude?

Yes  No 

(If yes, attach a sheet reporting the charge and the date, place and final disposition of the charge.)

Have you ever been refused a license or registration, or been censured or disciplined by any

State or Federal Agency, Stock Exchange, or NASD for any activity which would constitute

a lack of "good business repute" as defined in O.A.C. 1301:6-3-19(D)?

Yes  No 

(If yes, attach a sheet reporting the date, place and final disposition of the matter.)

Periods during which the applicant has previously been licensed by the Ohio Division of

Securities. (If none, so state.)

Employment Record: Complete information must be given covering the ten year period

immediately preceding the date of this application. Also include intervals of unemployment.

COM 4751 (5/05)

Form Com 4751 - Form Srsio State Retirement System Investment Officer - Ohio Dept.of Commerce Page 2