GS0361: financial services, namely, financial consultation, providing investment advice, mutual fund investment, and asset allocation; brokerage services, namely, brokerage of mutual funds; and mutual fund investment, namely, a fee based account that uses mutual funds in an asset allocation based upon clients' individual profile
Case File Event Statements
5/14/2018 - 6 years ago
40 - ABANDONMENT NOTICE MAILED - NO USE STATEMENT FILEDType:MAB6
5/14/2018 - 6 years ago
39 - ABANDONMENT - NO USE STATEMENT FILEDType:ABN6
10/14/2017 - 6 years ago
38 - NOTICE OF APPROVAL OF EXTENSION REQUEST E-MAILEDType:EXRA
10/12/2017 - 6 years ago
37 - EXTENSION 4 GRANTEDType:EX4G
10/12/2017 - 6 years ago
36 - EXTENSION 4 FILEDType:EXT4
10/12/2017 - 6 years ago
35 - TEAS EXTENSION RECEIVEDType:EEXT
4/15/2017 - 7 years ago
34 - NOTICE OF APPROVAL OF EXTENSION REQUEST E-MAILEDType:EXRA
4/13/2017 - 7 years ago
33 - EXTENSION 3 GRANTEDType:EX3G
4/13/2017 - 7 years ago
32 - EXTENSION 3 FILEDType:EXT3
4/13/2017 - 7 years ago
31 - TEAS EXTENSION RECEIVEDType:EEXT
11/2/2016 - 7 years ago
30 - NOTICE OF APPROVAL OF EXTENSION REQUEST E-MAILEDType:EXRA
11/1/2016 - 7 years ago
29 - EXTENSION 2 GRANTEDType:EX2G
10/12/2016 - 7 years ago
28 - EXTENSION 2 FILEDType:EXT2
11/1/2016 - 7 years ago
27 - CASE ASSIGNED TO INTENT TO USE PARALEGALType:AITU
10/12/2016 - 7 years ago
26 - TEAS EXTENSION RECEIVEDType:EEXT
10/12/2016 - 7 years ago
25 - TEAS CHANGE OF CORRESPONDENCE RECEIVEDType:TCCA
4/15/2016 - 8 years ago
24 - NOTICE OF APPROVAL OF EXTENSION REQUEST E-MAILEDType:EXRA