A broker/dealer, investment adviser, BD agent or IA rep may only transact business in a particular state after licensure or satisfying qualification requirements of that state, or only if they are excluded or exempted from the state’s broker/dealer, investment adviser, BD agent or IA rep requirements, as the case may be.
Follow-up or individualized responses to consumers in a particular state by a 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. You may contact JFLLC to obtain a prospectus about an investment company. A prospectus contains information about the investment company and should be read carefully before making any investment decisions. JFLLC advises investors to consider their investment objectives, risks, charges and expenses before investing.
Jacques Financial, LLC (JFLLC)
Securities offered through Jacques Financial, LLC (JFLLC) a Broker-Dealer, Member FINRA and SIPC. Investment advisory services are offered through Jacques Advisors, LLC an affiliate of JFLLC. Tax services are offered through Jacques & Associates Certified Public Accountants, LLC [Maryland State Board of Public Accountancy Registration Number 38336] an affiliate of JFLLC.
