General Securities Disclosure

 

Securities offered through NFP Securities, Inc. 1250 Capital of Texas Hwy S., #2-600, Austin TX 78746.
Tel 877-880-0040. Fax 512-329-0971. NASD/SIPC.


Follow-up, individualized responses to persons by NFP Securities, Inc. involving the rendering of personalized investment advice or effecting or attempting to effect securities transactions, will not be made absent compliance with state registration requirements. NFP Securities, Inc. cannot respond to securities or investment advisory related information requested by persons in Hawaii.

 
 


Important Consumer Information

 

(1) A broker-dealer, investment advisor, 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 advisor, BD agent or IA rep requirements as the case may be; and

(2) Follow-up, individualized responses to consumers in a particular state by broker-dealer, investment advisor, 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 advisor, BD agent or IA rep requirements, or pursuant to an applicable state exemption or exclusion.

(3) For information concerning the licensure status or disciplinary history of a broker-dealer, investment advisor, BD agent or IA rep, a consumer should contact his or her state securites law administrator.


 
 

Copyright © 1997-2000
NFP Securities, Inc.
1250 Capital of Texas Hwy S., #2-600
Austin TX 78746
Tel 877-880-0040
Fax 512-329-0971
NASD/SIPC