Web CRD® or IARDSM System Snapshot Report

A Snapshot Report is generated from the Central Registration Depository (CRD®) and provides background
information on an individual's securities and investment advisory experience and related qualifications. The report
includes exams taken, employment history, and disclosure information, if any exists.

Active Broker-Dealers and Investment Adviser firms may request these reports directly from Web CRD® for persons
associated with their firms. Accordingly, individuals who are currently registered on Web CRD®, may request
Snapshot Reports from the licensing or compliance departments of their firms.

Individuals also may request a Snapshot Report by printing and completing a Snapshot Request Form, which can be
found on the web at: http://www.nasd.com/web/idcplg?IdcService=SS_GET_PAGE&ssDocName=NASDW_011120.

You or your firm’s compliance department can also contact your state regulator to request a copy of your Snapshot
Report.

We need to review these specific fields on your Web CRD® or IARDSM System Snapshot Report:

PERSONAL INFORMATION
ALL REGISTRATIONS WITH EMPLOYERS, BOTH CURRENT AND PREVIOUS EMPLOYMENTS
ALL REGISTRATIONS FOR CURRENT AND/OR PREVIOUS EMPLOYMENTS WITH ALL REGULATORS
PROFESSIONAL DESIGNATIONS
EMPLOYMENT HISTORY
OTHER BUSINESS
EXAM INFORMATION
CONTINUING EDUCATION INFORMATION
CURRENT REPORTABLE DISCLOSURE INFORMATION
REGULATOR ARCHIVE AND Z RECORD INFORMATION

REGISTERED INVESTMENT ADVISERS ASSOCIATED PERSONS OF A

Investment Adviser Registration Depositor
IARDSM
The Investment Adviser Registration Depository
(IARDSM) is an electronic filing system for Investment
Advisers sponsored by the Securities and Exchange
Commission and North American Securities Administra-
tors Association, with NASD serving as the developer
and operator of the system. The IARDSM system collects
and maintains the registration and disclosure information
for Investment Advisers and their associated persons.
BROKER-DEALER
Central Registration Depository
CRD®
NASD operates CRD®, the central licensing and
registration system for the U.S. securities industry and
its regulators. It contains the registration records of
more than 6,800 registered broker-dealers and the
qualification, employment, and disclosure histories of
more than 660,000 active registered individuals.

Additional information on the CRD® can be found at:

Additional information on the Investment Adviser http://www.nasd.com/web/idcplg?
Registration Depository can be found at: IdcService=SS_GET_PAGE&nodeId=370
http://www.iard.com/Default.asp

You can obtain more information about your state regulator at the
North American Securities Administrators Association, Inc. website:
http://www.nasaa.org/home/index.cfm