Certain items in Part I of Form MA require additional information on Schedule D. Use this Schedule D to report details for items listed below. Report only new information or changes/updates to previously submitted information. Do not repeat previously submitted information.
This is an:
INITIAL or
AMENDED Schedule D or
ANNUAL UPDATE
SECTION 1-B Other Names under which Municipal Advisor-Related Business is Conducted
List the applicant's other business names and the jurisdictions in which they are used. A separate Schedule D must be completed for each business name, and the jurisdictions where that name is used.
SECTION 1-D Additional Registrations of the Applicant
Indicate any additional registrations with federal or state regulators, and the relevant registration number. A separate Schedule D must be completed for each such registration.
SECTION 1-E Additional Offices at which the Applicant’s Municipal Advisor-Related Business is Conducted
Provide the location of the largest five additional offices (in terms of numbers of employees) at which the applicant’s municipal advisor-related business is conducted other than applicant’s principal office and place of business. A separate Schedule D must be completed for each such office.
SECTION 1-F Additional Website Addresses
List any additional website addresses of the applicant. A separate Schedule D must be completed for each such website address.
SECTION 1-I Location of Books and Records
Complete the following information for each location at which the applicant keeps books and records, other than its principal office and place of business. A separate Schedule D must be completed for each location.
SECTION 1-J Registration with Foreign Financial Regulatory Authorities
List the full name, in English, of each foreign financial regulatory authority, provide the foreign registration number (if any), and list the full name, in English, of the country with which the applicant is registered. A separate Schedule D must be completed for each foreign financial regulatory authority with whom the applicant is registered.
SECTION 1-K Business Affiliates of the Applicant
Provide the name of any domestic or foreign business affiliate of the applicant and any federal, state, or foreign registration of such affiliate and the registration number. A separate Schedule D must be completed for each such affiliate.
1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes

No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):
1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes

No
2. Provide the following details:
(a) Name of Agency Issuing Registration (in English):
(b) Registration No., if any:
(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):
FRANCE
SECTION 3 Successions
Complete the following information if succeeding to the business of a currently-registered municipal advisor. If the applicant succeeded more than one municipal advisory firm in the succession being reported on this Form MA, a separate Schedule D must be completed for each predecessor firm. See Instruction 1 of the Specific Instructions for Certain Items in Form MA included in the General Instructions.
SECTION 4-D Firms and Other Persons that Solicit Municipal Advisor Clients on the Applicant’s Behalf
Provide the name, address, and phone number of any firm or other person that is not otherwise an associated person of the applicant that solicits municipal advisor clients on the applicant’s behalf. A separate Schedule D must be completed for each such firm or natural person.
SECTION 4-E Employees That Also Do Business Independently on the Applicant’s Behalf as Affiliates of the Applicant
SECTION 5-B Description of Primary Business (for businesses not listed in Part A of Item 5)
If you checked Item 5-B.2 describe the applicant’s primary business (not the applicant’s municipal advisor-related business):
SECTION 6 Financial Industry and Other Activities of Associated Persons
The following information must be completed for each associated person in every category you checked in Item 6-A. A separate Schedule D must be completed for each such associated person.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
BRAZIL
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
HONG KONG
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
RUSSIAN FEDERATION
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
BELGIUM
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
BELGIUM
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
GERMANY
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
CZECH REPUBLIC
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
ROMANIA
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
SINGAPORE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
HONG KONG
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
LUXEMBOURG
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
MONTENEGRO
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
POLAND
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
CZECH REPUBLIC
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
CZECH REPUBLIC
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
SERBIA
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
ITALY
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
MAURITANIA
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
GABON
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
ROMANIA
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
RUSSIAN FEDERATION
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
MOROCCO
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
GHANA
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
RUSSIAN FEDERATION
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRENCH POLYNESIA
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
BENIN
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
CAMEROON
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
ALGERIA
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
ALGERIA
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
BULGARIA
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
ROMANIA
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
BRAZIL
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
MEXICO
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
MEXICO
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
JERSEY
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
ALBANIA
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
MADAGASCAR
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
GERMANY
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
JERSEY
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
RUSSIAN FEDERATION
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
CHINA
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
JAPAN
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
GERMANY
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
GERMANY
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
JERSEY
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
JERSEY
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
CZECH REPUBLIC
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
BRAZIL
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
JERSEY
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
RUSSIAN FEDERATION
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
CZECH REPUBLIC
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
BRAZIL
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
BULGARIA
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
ITALY
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
UNITED KINGDOM
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
MOROCCO
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
SERBIA
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
KOREA, REPUBLIC OF
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
IRELAND
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
AUSTRALIA
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
LUXEMBOURG
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
GHANA
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
LUXEMBOURG
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
LUXEMBOURG
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
SWITZERLAND
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
SAUDI ARABIA
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
ITALY
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
MOROCCO
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)
English Name of Country:
FRANCE
Select only one:

Add

Delete

Amend
Legal Name of Associated Person:
Primary Business Name of Associated Person:
A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer

(2) Investment company (including mutual funds)

(3)
Investment adviser (including financial planners)

(4) Swap dealer

(5) Security-based swap dealer

(6) Major swap participant

(7) Major security-based swap participant

(8) Commodity pool operator (whether registered or exempt from registration)

(9) Commodity trading advisor (whether registered or exempt from registration)

(10) Futures commission merchant

(11) Banking or thrift institution

(12) Trust company

(13) Accountant or accounting firm

(14) Attorney or law firm

(15) Insurance company or agency

(16) Pension consultant

(17) Real estate broker or dealer

(18) Sponsor or syndicator of limited partnerships

(19) Engineer or engineering firm

(20) Other
municipal advisorB. Control Relationships and Foreign Relations
(1) Control Relationships
(a) Does the applicant
control or is it
controlled by the
associated person?

Yes

No
(b) Are the applicant and the
associated person under common
control?

Yes

No
(2) Foreign Financial Regulatory Authority Registration
(a) Is the
associated person registered with a
foreign financial regulatory authority?

Yes

No
(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.
English Name of
Foreign Financial Regulatory Authority:
Registration Number (if any): (Need to capture the right value from schema)