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"Establishing
a lasting relationship"
Licensed to sell insurance products only in the state
of Arizona.
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- A broker/dealer,
investment adviser, BD agent, or IA rep may only transact business in a
particular state after licensure or satisfying qualifications
- Requirements of that
state, or only if they are excluded or exempted from the state's
broker/dealer, investment adviser, or BD agent or IA rep requirements,
as the case may be; and
- Follow-up
individualized responses to consumers in a particular state by
broker/dealer, investment adviser, BD agent or IA rep that involve
either the effecting or attempting to effect transactions in securities
or the rendering of personalized investment advice for compensation, as
the case may be, shall not be made without first complying with the
state's broker/dealer, investment adviser, BD agent or IA rep
requirements, or pursuant to an applicable state exemption or exclusion.
- For information
concerning the licensure status or disciplinary history of a
broker/dealer, investment adviser, BD agent or IA rep, a consumer should
contact his or her state securities law administrator.
William J. Weber is licensed to
sell securities in the state of Arizona.
By clicking OK, I agree that I am a
resident of one of the states listed above.
 
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