-
Meers Lewis Cpa
Distance: 25.4 Mi1501 North Banks Street
79065 Pampa -
Mc Cormick Advertising Co
Distance: 40.5 MiPO Box 1931
79105 Amarillo -
Wilson Haag & Co PC
Distance: 40.6 Mi418 S Polk St Ste 200
79101 Amarillo -
First Bank & Trust
Distance: 44.4 Mi6900 W I-40
79106 Amarillo -
Infre
Distance: 146.6 MiPO BOX 1860
79408-1860 Lubbock
Website Links
Description
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 adviser, or BD agent or IA rep requirements, as the case may be; and follow-up, individualized responses to consumers in a particular state by broker/dealer, investment adviser, BD agent or IA rep that involve either the effecting or attempting to effect transactions in securities or the rendering of personalized investment advice for compensation, as the case may be, shall not be made without first complying with the state's broker/dealer, investment adviser, 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 adviser, BD agent or IA rep, a consumer should contact his or her stated securities law administrator.