IMPORTANT NOTICE

Section 21 of the Texas Securities Act1 requires a registered dealer and registered investment adviser to conspicuously display a registration certificate in the registrant's principal place of business in Texas and in each registered branch office in Texas.

Effective September 1, 2009, the Texas State Securities Board will no longer print or mail these certificates. Instead, registration certificates must be obtained as follows:

  1. Go to the internet website: www.ssb.state.tx.us/cert
  2. Enter either the firm CRD Number, Texas File Number, or CRD Branch Number
  3. Click on "Certificate of Registration" for the appropriate office location to print the certificate

If you have any question about this process, please contact Patricia Loutherback (512) 305-8338.



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   1TEX. REV. CIV. STAT. ANN. art. 581-21, Posting Registration Certificates. Immediately upon receipt of the dealer's or investment adviser's registration certificate issued pursuant to the authority of this Act, the dealer or investment adviser named therein shall cause such certificate to be posted and at all times conspicuously displayed in such dealer's or investment adviser's principal place of business, if one is maintained in this state, and shall likewise forthwith cause a duplicate of such certificate to be posted and at all times conspicuously displayed in each branch office located within this state.