| 6/14/2003 Effective June 1, 2003, the Securities and Exchange Commission, (SEC), instituted new regulations regarding record keeping by branch offices of Broker/Dealers. Also, the Patriot Act imposes on the brokerage industry the burden of scrutinizing against money laundering. For example, for new accounts opened after October, we will be asking for a driver's license number. First Allied Securities is required to update the Account Information Form, (AIF), which you signed upon opening your account. We will call you by phone to obtain current information. You will then receive a "negative response letter", which will ask you to respond if our records are incorrect. We thank those of you who have already helped us update our records, and look forward to speaking with everyone else. |
| "we navigate > you arrive" |
| Steven King, CFP, MBA, AAMS 4555 Holland Street Wheat Ridge, Colorado 80033 303-420-8804 Toll Free: 877-420-8804 fax: 303-420-8805 sking@1stallied.com |
| Securities offered through FIRST ALLIED SECURITIES, INC. member |
| iiClient Service Center: Regulatory Notices |
| Retirement Rollovers Financial Planning Investments |
 |
 |
 |