A broker/dealer, investment advisor, BD agent or IA rep may only transact business in a particular state after licensure or satisfying qualifications requirements of that state, or only if they are excluded or exempted from the state’s broker/dealer, investment advisor, BD agent or IA rep, registration requirements, as may be; and follow-up, individualized responses that involve either the effecting or attempting to effect transaction in securities or the rendering of the personalized investment advice for compensation, as the case may be, shall not be made without first complying with the state’s broker/dealer, investment advisor, BD agent or IA rep requirements, or pursuant to an applicable state exemption or exclusion. For information concerning the licensure status or disciplinary history of a broker/dealer, investment advisor, BD agent or IA rep, a consumer should contact his or her stated securities law administrator.

Investment products and services available only to residents of Arizona (AZ), Arkansas (AR), California (CA), Colorado (CO), Florida (FL), Georgia (GA), Illinois (IL), Indiana (IN), Iowa (IA), Kansas (KS), Louisiana (LA), Massachusetts (MA), Minnesota (MN), Missouri (MO), Montana (MT), Nebraska (NE), New Hampshire (NH), North Carolina (NC), Ohio (OH), Oregon (OR), Pennsylvania (PA), South Dakota (SD), Texas (TX), Washington (WA), Wisconsin (WI).

Fee-based investment advisory services available only to residents of Iowa and Minnesota.

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