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Uniform Application business Entity License/Registration(Please Print or Type) Check appropriate boxes for license requested. Resident License Nonresident License? Identify Home State:___? Identify
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The Uniform Application is used for the registration of broker-dealers and investment advisers with various regulatory bodies. It standardizes the process for licensing and ensures that applicants provide necessary information.
Broker-dealers, investment advisers, and their associated persons who wish to conduct business in a regulated capacity are required to file the Uniform Application.
To fill out the Uniform Application, applicants need to gather relevant personal, financial, and business information, complete the required sections accurately, and submit it through the appropriate electronic filing system.
The purpose of the Uniform Application is to facilitate a common process for the registration and licensing of individuals and firms in the financial services industry, ensuring all necessary disclosures and compliance are met.
Applicants must report personal information, employment history, criminal history, financial disclosures, and other details relevant to their qualifications for registration.
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