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Owners
National Society of Compliance Professionals
CERTIFIED SECURITIES COMPLIANCE PROFESSIONAL
on 19 Dec 2017
Last Applicant/ Owned by
22 Kent Road
Cornwall Bridge
CT
06754
Serial Number
77057546 filed on 05th Dec 2006
Registration Number
3393606 registered on 04th Mar 2008
Correspondent Address
Christopher P. Foley
Filing Basis
1. use application currently
Disclaimer
NO DATA
The certification mark, as intended to be used by persons authorized by the certifier, certifies that individuals have met the minimum standards of experience, knowledge, and written examination requirements established by the certifier in the field of securities compliance. Certifying that broker-dealers and investment advisor professionals have met minimum standards of competency in the field oRead More
Certifying that broker-dealers and investment advisor professionals have met minimum standards of competency in the field of securities compliance
15th Jul 2006
01st Sep 2006
No 77057546
No Service/Collective Mark
No 10594.0001
No
No
No
No
No
No
No
No
| Status Date | Action Taken |
|---|---|
| 19th Dec 2017 | REGISTERED AND RENEWED (FIRST RENEWAL - 10 YRS) |
| 19th Dec 2017 | REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED |
| 19th Dec 2017 | NOTICE OF ACCEPTANCE OF SEC. 8 & 9 - E-MAILED |
| 18th Dec 2017 | TEAS RESPONSE TO OFFICE ACTION-POST REG RECEIVED |
| 05th Jul 2017 | POST REGISTRATION ACTION MAILED - SEC. 8 & 9 |
| 20th Jun 2017 | CASE ASSIGNED TO POST REGISTRATION PARALEGAL |
| 10th May 2017 | CASE ASSIGNED TO POST REGISTRATION PARALEGAL |
| 14th Mar 2017 | TEAS SECTION 8 & 9 RECEIVED |
| 04th Mar 2017 | COURTESY REMINDER - SEC. 8 (10-YR)/SEC. 9 E-MAILED |
| 10th Oct 2013 | ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED |
