GS0361: FINANCIAL AND INVESTMENT SERVICES, namely, PROVIDING CLIENTS WITH A PERSONALIZED FINANCIAL PLAN, INVESTMENT STRATEGY, UPDATES ON INVESTMENT PERFORMANCE AND CONTACTS WITH FINANCIAL ADVISORS
D10000: "CLIENT EXPERIENCE"
Case File Event Statements
9/20/2023 - a year ago
16 - AUTOMATIC UPDATE OF ASSIGNMENT OF OWNERSHIPType:ASGN
9/19/2023 - a year ago
15 - NOTICE OF REGISTRATION CONFIRMATION EMAILEDType:NRCC
9/19/2023 - a year ago
14 - REGISTERED-PRINCIPAL REGISTERType:R.PR
7/4/2023 - a year ago
13 - OFFICIAL GAZETTE PUBLICATION CONFIRMATION E-MAILEDType:NPUB
7/4/2023 - a year ago
12 - PUBLISHED FOR OPPOSITIONType:PUBO
6/14/2023 - a year ago
11 - NOTIFICATION OF NOTICE OF PUBLICATION E-MAILEDType:NONP
5/30/2023 - a year ago
10 - APPROVED FOR PUB - PRINCIPAL REGISTERType:CNSA
5/24/2023 - a year ago
9 - TEAS/EMAIL CORRESPONDENCE ENTEREDType:TEME
5/24/2023 - a year ago
8 - CORRESPONDENCE RECEIVED IN LAW OFFICEType:CRFA
5/24/2023 - a year ago
7 - TEAS RESPONSE TO OFFICE ACTION RECEIVEDType:TROA
5/18/2023 - a year ago
6 - NOTIFICATION OF NON-FINAL ACTION E-MAILEDType:GNRN
5/18/2023 - a year ago
5 - NON-FINAL ACTION E-MAILEDType:GNRT
5/18/2023 - a year ago
4 - NON-FINAL ACTION WRITTENType:CNRT
5/11/2023 - a year ago
3 - ASSIGNED TO EXAMINERType:DOCK
8/1/2022 - 2 years ago
2 - NEW APPLICATION OFFICE SUPPLIED DATA ENTEREDType:NWOS