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Personal Information

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*First Name: 
*Last Name: 
*Company: 
Address: 
 
City: 
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*Phone Number: 
Who is your broker/dealer ? 
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Required - Please answer the following:

* 1. What securities licenses do you currently hold? Series 7
Series 6
Series 24
Series 65
Series 66
Other  
 
* 2. What professional designations do you currently hold? CFA
CFP
CIC
CPM
CIM
None
Other  
 
* 3. What is your length of experience as an investment professional? less than 1 year
1 to 3 years
4 to 7 years
8 to 10 years
more than 10 years
 

Please answer the following:

4. Which kind of investment products do you recommend to your clients? Individual stocks and bonds
Separate Accounts
Mutual Funds
Insurance-related investments
Other  
 
5. Which of the following would best describe your registration as a financial advisor? Your own Registered Investment Advisor
Advisor representative of a Broker-Dealer Firm
Advisor representative of a Non Broker-Dealer Firm
Other
 
6. What is the total amount of assets you personally have under management? Less than $50 million
$50 - $100 million
More than $100 million
Will not disclose
 
7. Which of the following best describe how you are compensated?  Fee only
Commission only
Both fee and commision
Salary
Will not disclose
 
8. Accept Terms and Conditions 
 
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