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1. Representatives of a broker-dealer ("BD") or investment advisor ("IA") may only conduct business in a state if the representatives and the BD or IA they represent
(a) satisfy the qualification requirements of, and are approved to do business by, the state; or
(b) are excluded or exempted from the state's licensure requirements.
2. Representatives of a BD or IA are deemed to conduct business in a state to the extent that they provide individualized responses to investor inquiries that involve
(a) effecting, or attempting to effect, transactions in securities; or
(b) rendering personalized investment advice for compensation.
3. Representative is registered to offer securities in the following states: CA, CO, MN, MT, ND, TX, IA, SD, WA.
Kirk Baeth, Investment Advisor Representative, Investment Centers of America, Inc. Securities, advisory services and insurance products offered through Investment Centers of America, Inc., (ICA) member FINRA, SIPC, a Registered Investment Advisor, and affiliated insurance agencies. CountryBank USA and CountryInvest USA Inc. are not affiliated with Investment Centers of America, Inc. Products offered through ICA are:
