EFTA Document EFTA01453156

Are you related to an employee at another broker-dealer? K Yes K No If Yes, list name of broker-dealer/name of employee: Are you an employee or related to an employee of Finanaal Industry Regulatory Authority/other self-regulatory organization? K Yes K No If Yes, fist person and organization. Is any owner now, or has any owner ever been, a senior corporate offioar or director, or does any owner own 10% or more of any publicly-traded company's stock? K Yes K No If Yes, provide name of c