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Owners
LEGG MASON INVESTOR SERVICES, LLC
ACES ADVISOR COMMITMENT TO EDUCATION AND SERVICE
no statement of use filed
on 11 Oct 2010
Last Applicant/ Owned by
100 International Drive
Baltimore
MD
21202
Serial Number
77476783 filed on 16th May 2008
Registration Number
N/A
Filing Basis
1. intent to use
2. intent to use current
Disclaimer
"ADVISOR"
Educational services provided to 401(k) plan sponsors and plan fiduciaries, namely, training with respect to their investment-related and disclosure-related duties under ERISA, and providing educational services, namely, seminars in the field of of investments and retirement planning Financial services of brokers selling mutual funds to employer-sponsored 401(k) plans and other defined contributiRead More
Financial services of brokers selling mutual funds to employer-sponsored 401(k) plans and other defined contribution plans subject to ERISA (Employee Retirement Income Security Act of 1974), namely, providing investment-related support and information to the plan sponsor and the plan's fiduciaries with respect to their duty to select, monitor and replace funds in the plan's investment menu, providing financial counseling, financial retirement planning services and asset allocation assistance to plan participants, and partnering with the plan sponsor to promote, facilitate and encourage retirement savings to plan participants
Educational services provided to 401(k) plan sponsors and plan fiduciaries, namely, training with respect to their investment-related and disclosure-related duties under ERISA, and providing educational services, namely, seminars in the field of of investments and retirement planning
No 77476783
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| Status Date | Action Taken |
|---|---|
| 30th Aug 2011 | TEAS CHANGE OF CORRESPONDENCE RECEIVED |
| 12th Oct 2010 | ABANDONMENT NOTICE MAILED - NO USE STATEMENT FILED |
| 11th Oct 2010 | ABANDONMENT - NO USE STATEMENT FILED |
| 25th Feb 2010 | EXTENSION 1 GRANTED |
| 25th Feb 2010 | EXTENSION 1 FILED |
| 25th Feb 2010 | TEAS EXTENSION RECEIVED |
| 21st Sep 2009 | APPLICANT/CORRESPONDENCE CHANGES (NON-RESPONSIVE) ENTERED |
| 21st Sep 2009 | TEAS CHANGE OF OWNER ADDRESS RECEIVED |
| 21st Sep 2009 | TEAS CHANGE OF CORRESPONDENCE RECEIVED |
| 08th Sep 2009 | NOA MAILED - SOU REQUIRED FROM APPLICANT |
