Roger Carlon - Investment Centers of America, Inc. |
|||
![]()
![]() |
|||
|
This material is not intended as tax or legal advice, and it may not be relied on for the purpose of avoiding any federal tax penalties. You are encouraged to seek tax or legal advice from an independent professional advisor. The content is derived from sources believed to be accurate. |
|||
|
Ø Representatives of a Registered Broker-Dealer (“BD”) or Registered Investment Advisor (“IA”) may only conduct business in a state if the representatives and the BD or IA they represent (a) satisfy the qualification requirements of, and are approved to do business by, that state; or (b) are excluded or exempted from that state’s registration requirements. Ø Representatives of a BD or IA are deemed to conduct business in a state to the extent that they would provide individualized responses to investor inquiries that involve (a) effecting, or attempting to effect, transactions in securities; or (b) rendering personalized investment advice for compensation. We are registered to offer securities in the following states: AR, AZ, CA, CO, FL, HI, IA, ID, IL, IN, KS, KY, MI, MN, MO, NC, NE, NV, OH, OK, OR, PA, TX, WI Investment Centers of America, Inc. (
|
|||