N00000: The name(s), portrait(s), and/or signature(s) shown in the mark does not identify a particular living individual.
GS0361: SEPARATE MANAGED ACCOUNT PLATFORM FOR THE DISCRETIONARY INVESTMENT OF ASSETS UNDER THE MANAGEMENT BY ONE OR MORE PORTFOLIO MANAGERS AND ADMINISTERED BY AN INVESTMENT DEALER THROUGH INDIVIDUAL BROKERAGE ACCOUNTS
D10000: "PORTFOLIOS"
Case File Event Statements
3/25/2022 - 2 years ago
27 - CANCELLED SEC. 8 (6-YR)Type:C8..
9/15/2020 - 4 years ago
26 - COURTESY REMINDER - SEC. 8 (6-YR) E-MAILEDType:REM1
3/31/2016 - 8 years ago
25 - TEAS CHANGE OF CORRESPONDENCE RECEIVEDType:TCCA
9/15/2015 - 9 years ago
24 - REGISTERED-PRINCIPAL REGISTERType:R.PR
6/30/2015 - 9 years ago
23 - OFFICIAL GAZETTE PUBLICATION CONFIRMATION E-MAILEDType:NPUB
6/30/2015 - 9 years ago
22 - PUBLISHED FOR OPPOSITIONType:PUBO
6/10/2015 - 9 years ago
21 - NOTIFICATION OF NOTICE OF PUBLICATION E-MAILEDType:NONP
5/27/2015 - 9 years ago
20 - LAW OFFICE PUBLICATION REVIEW COMPLETEDType:PREV
5/21/2015 - 9 years ago
19 - APPROVED FOR PUB - PRINCIPAL REGISTERType:CNSA
5/21/2015 - 9 years ago
18 - TEAS/EMAIL CORRESPONDENCE ENTEREDType:TEME
5/21/2015 - 9 years ago
17 - CORRESPONDENCE RECEIVED IN LAW OFFICEType:CRFA
5/14/2015 - 9 years ago
16 - TEAS RESPONSE TO SUSPENSION INQUIRY RECEIVEDType:ERSI
5/8/2015 - 9 years ago
15 - NOTIFICATION OF LETTER OF SUSPENSION E-MAILEDType:GNS3
5/8/2015 - 9 years ago
14 - LETTER OF SUSPENSION E-MAILEDType:GNSL
5/8/2015 - 9 years ago
13 - SUSPENSION LETTER WRITTENType:CNSL
5/7/2015 - 9 years ago
12 - TEAS/EMAIL CORRESPONDENCE ENTEREDType:TEME
5/7/2015 - 9 years ago
11 - CORRESPONDENCE RECEIVED IN LAW OFFICEType:CRFA
5/4/2015 - 9 years ago
10 - ASSIGNED TO LIEType:ALIE
5/4/2015 - 9 years ago
9 - ASSIGNED TO LIEType:ALIE
5/4/2015 - 9 years ago
8 - ASSIGNED TO LIEType:ALIE
5/1/2015 - 9 years ago
7 - TEAS RESPONSE TO OFFICE ACTION RECEIVEDType:TROA
11/5/2014 - 10 years ago
6 - NOTIFICATION OF NON-FINAL ACTION E-MAILEDType:GNRN
11/5/2014 - 10 years ago
5 - NON-FINAL ACTION E-MAILEDType:GNRT
11/5/2014 - 10 years ago
4 - NON-FINAL ACTION WRITTENType:CNRT
11/4/2014 - 10 years ago
3 - ASSIGNED TO EXAMINERType:DOCK
8/4/2014 - 10 years ago
2 - NEW APPLICATION OFFICE SUPPLIED DATA ENTERED IN TRAMType:NWOS