Carillon Group

Description

The broker-dealer or BD agent in question may only transact business in a state if first registered, excluded or exempted from state broker-dealer or BD agent or registration requirements, as may be; and follow-up, individualized responses to persons in a state by such broker dealer or BD agent that involve the effecting or attempting to effect transactions in securities, as may be, will not be made absent compliance with state broker-dealer or BD agent registration requirements, or an applicable exemption or exclusion.

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