on 28 Jun 2014
Last Applicant/ Owned by
1776 Pleasant Plain Road
Fairfield
IA
52556
Serial Number
78071682 filed on 29th Jun 2001
Registration Number
2855821 registered on 22nd Jun 2004
Correspondent Address
James C. Nemmers
Filing Basis
1. use application currently
Disclaimer
NO DATA
INVESTMENT ADVICE AND BROKER-DEALER SERVICES IN THE FIELD OF SECURITIES AND ANNUITIES, PROVIDED TO FINANCIAL PLANNERS, FINANCIAL ADVISORS AND FINANCIAL ASSET MANAGERS
INVESTMENT ADVICE AND BROKER-DEALER SERVICES IN THE FIELD OF SECURITIES AND ANNUITIES, PROVIDED TO FINANCIAL PLANNERS, FINANCIAL ADVISORS AND FINANCIAL ASSET MANAGERS
01st Mar 2001
01st Mar 2001
No 78071682
No Service Mark
No
No
No
No
No
No
No
No
No
| Status Date | Action Taken |
|---|---|
| 22nd Jun 2023 | COURTESY REMINDER - SEC. 8 (10-YR)/SEC. 9 E-MAILED |
| 20th Feb 2020 | TEAS CHANGE OF CORRESPONDENCE RECEIVED |
| 20th Feb 2020 | TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED |
| 20th Feb 2020 | APPLICANT/CORRESPONDENCE CHANGES (NON-RESPONSIVE) ENTERED |
| 20th Feb 2020 | ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED |
| 20th Feb 2020 | TEAS CHANGE OF OWNER ADDRESS RECEIVED |
| 28th Jun 2014 | CASE ASSIGNED TO POST REGISTRATION PARALEGAL |
| 28th Jun 2014 | REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED |
| 28th Jun 2014 | REGISTERED AND RENEWED (FIRST RENEWAL - 10 YRS) |
| 28th Jun 2014 | NOTICE OF ACCEPTANCE OF SEC. 8 & 9 - E-MAILED |
