Form SFN53494 "Affidavit of Investment Advisory Activity" - North Dakota

What Is Form SFN53494?

This is a legal form that was released by the North Dakota Securities Department - a government authority operating within North Dakota. As of today, no separate filing guidelines for the form are provided by the issuing department.

Form Details:

  • Released on July 1, 2011;
  • The latest edition provided by the North Dakota Securities Department;
  • Easy to use and ready to print;
  • Quick to customize;
  • Compatible with most PDF-viewing applications;
  • Fill out the form in our online filing application.

Download a fillable version of Form SFN53494 by clicking the link below or browse more documents and templates provided by the North Dakota Securities Department.

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Download Form SFN53494 "Affidavit of Investment Advisory Activity" - North Dakota

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AFFIDAVIT OF INVESTMENT ADVISORY ACTIVITY
Securities Department
600 E Boulevard Ave Dept 414
NORTH DAKOTA SECURITIES DEPARTMENT
Bismarck ND 58505
SFN 53494 (7-2011)
(701) 328-2910
www.ndsecurities.com
Name of Applicant:
Applicant does hereby certify:
1. That the above-named Applicant and its investment adviser representatives have not given investment
advice for compensation to any North Dakota resident, or been involved in wrap-fee programs;
2. That the above-named Applicant and its investment adviser representatives have engaged in giving of
investment advice for compensation to North Dakota residents, or been involved in wrap-fee programs,
and all pertinent information relating to said advice is attached to this affidavit, including names and
addresses of clients receiving investment advice, the dates such advisory services were provided as
to each client, the nature of such investment advice as to each client, and the amount of fees generated
from each client.
I, on behalf of
(Name of
Applicant), acknowledge the foregoing to be truthful with full knowledge that misrepresentation of such facts to the Securities
Department of the State of North Dakota may result in administrative action by the Department.
Signature of Officer, Partner or Sole Proprietor:
Subscribed and sworn to before me this
day of
, 20
.
Notary Public
County of
(NOTARIAL SEAL)
State of
My commission expires on
AFFIDAVIT OF INVESTMENT ADVISORY ACTIVITY
Securities Department
600 E Boulevard Ave Dept 414
NORTH DAKOTA SECURITIES DEPARTMENT
Bismarck ND 58505
SFN 53494 (7-2011)
(701) 328-2910
www.ndsecurities.com
Name of Applicant:
Applicant does hereby certify:
1. That the above-named Applicant and its investment adviser representatives have not given investment
advice for compensation to any North Dakota resident, or been involved in wrap-fee programs;
2. That the above-named Applicant and its investment adviser representatives have engaged in giving of
investment advice for compensation to North Dakota residents, or been involved in wrap-fee programs,
and all pertinent information relating to said advice is attached to this affidavit, including names and
addresses of clients receiving investment advice, the dates such advisory services were provided as
to each client, the nature of such investment advice as to each client, and the amount of fees generated
from each client.
I, on behalf of
(Name of
Applicant), acknowledge the foregoing to be truthful with full knowledge that misrepresentation of such facts to the Securities
Department of the State of North Dakota may result in administrative action by the Department.
Signature of Officer, Partner or Sole Proprietor:
Subscribed and sworn to before me this
day of
, 20
.
Notary Public
County of
(NOTARIAL SEAL)
State of
My commission expires on