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Financial Planning
A
broker/dealer, investment adviser, BD agent, or IA rep may
only transact business in a particular state after
licensure or satisfying qualifications:
1.
Requirements of that state, or only if they are excluded
or exempted from the state's broker/dealer,
investment adviser, or BD agent or IA rep requirements,
as the case may be; and
2.
Follow-up individualized responses to consumers in a
particular state by broker/dealer, investment adviser,
BD agent or IA rep that involve either the effecting or
attempting to effect transactions in securities or the
rendering of personalized investment advice for
compensation, as the case may be, shall not be made
without first complying with the state's
broker/dealer, investment adviser, BD agent or IA rep
requirements, or pursuant to an applicable state
exemption or exclusion.
3.
For information concerning the licensure status or
disciplinary history of a broker/dealer, investment
adviser, BD agent or IA rep, a consumer should contact
his or her state securities law administrator.
David Glidewell
is licensed
to sell securities in the state[s] of Montana.
By clicking OK, I agree that I am a resident of one of the
states listed above.
David Glidewell is a registered representative and
registered advisor of and offers securities and
advisory services through:
SIS
Financial & Insurance Services
777
108th Avenue NE, Suite 1200, Bellevue, WA 98004.
Tel:
800-469-7667
Member NASD/SIPC
A
Broker/Dealer and an SEC Registered Investment
Advisor.
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