Form MA-I Applicant's Information

Filer's CIK:

0000049709

Filer's CCC:

Submission Contact Information

Name:

Jacob Bongard

Phone:

612-671-0527

Email Address:

jacob.x.bongard@ampf.com

Notification Information

Notification will automatically be sent to the Login CIK, Submission Contact, and Primary Issuers. Specify additional addresses below.

Email Address:

jacob.x.bongard@ampf.com

Please read the General Instructions for this form and other forms in the MA series, as well as its subsection, "Specific Instructions for Form MA-I," before completing this form. All italicized terms herein are defined or described in the Glossary of Terms appended to the General Instructions.

PART 1

This form must be completed by

Every municipal advisory firm applying for registration or registered as a municipal advisor on Form MA, to provide information regarding each natural person who is an associated person of the firm and engages in municipal advisory activities on the firm's behalf (for purposes of Form MA-I, the "individual"); and

Every natural person (sole proprietor) applying for registration as a municipal advisor on Form MA, to provide additional personal information.

WARNING

Complete this form truthfully. False statements or omissions may result in denial of a municipal advisor's application, revocation or suspension of such registration, or criminal prosecution. Form MA-I must be amended promptly whenever any information previously provided becomes inaccurate. See General Instruction 9.

Type of Filing:

This is an (check the appropriate box):

Initial Form MA-I

Execution Pages: Before submitting this form, you must complete the Execution Page.

Supporting Documentation: If you are required to make reportable disclosures in the Disclosure Reporting Pages, you must attach the supporting documentation.

Non-Resident Individuals: If the individual is a non-resident of the United States, you must attach a completed Form MA-NR signed by the individual to this Form MA-I at the time of initial filing of Form MA-I. See the General Instructions.

Amendment to the most recent Form MA-I

Amendment to indicate that the individual is no longer an associated person of the municipal advisory firm or no longer engages in municipal advisory activities on its behalf. (If you check this box, complete only Item 1-A and Item 7 below.)

Item 1 Identifying Information

A. The Individual

Full Legal Name:

Enter all the letters of each name and not initials or other abbreviations. If no middle name, enter NMN on that line.

Last Name:

Davis

First Name:

Webb

Middle Name:

Lloyd

Suffix:

Individual CRD No.: (if any)

837814

B. Municipal Advisory Firms Where the Individual Is Employed

In providing your responses, please note that the definition of "employee" for purposes of this form includes an independent contractor who engages in municipal advisory activities on behalf of a municipal advisory firm. See Glossary of Terms.

Is the individual employed at more than one municipal advisory firm?

YES

Enter the number of municipal advisory firms the individual is employed with (sole proprietors not employed with any other firm enter 1).

(For individuals who are employed with more than one firm, provide the information required by this Item 1-B for each such firm. For sole proprietors, enter the legal name under which you conduct your municipal advisor-related activities, and skip to Item 1-B.1.)

Municipal Advisory Firm's CIK:

Full Legal Name of municipal advisory firm with which the individual is employed:

AMERIPRISE FINANCIAL SERVICES, INC.

Name under which municipal advisor-related business is primarily conducted, if different from above:

Date that the individual's most recent employment with this municipal advisory firm commenced (MM/DD/YYYY):

1/1/80

Does the individual have an independent contractor relationship with the above-named firm?

YES

(1) Municipal Advisory Firm's Registration Information:

Notification will automatically be sent to the Login CIK, Submission Contact, and Primary Issuers. Specify additional addresses below.

Is the municipal advisory firm currently registered on Form MA as a municipal advisor? (Answer "Yes" if you have already filed Form MA and your application for registration on that form has been approved. Otherwise, answer "No.")

YES

SEC File No.:

If "No," has the municipal advisory firm filed a Form MA application?

YES

Form MA Filing Date: (MM/DD/YYYY):

9/29/14

EDGAR CIK No.:

0000049709

(2) Office

Enter the requested information for each office of the municipal advisory firm where the individual is or will be physically located, and each office from which the individual is or will be supervised:

The individual is or will be checkbox checked

Located At checkbox unchecked

Supervised From

Start Date:

1/1/80

Street Address 1:

329 N Main St

Street Address 2:

Suite 201

City:

Austin

State/Country:

Postal Code:

55912

Private Residence Check Box: Is the Office of Employment address a private residence?

A private residential address will not be included in publicly available versions of this registration form.

YES

The individual is or will be checkbox unchecked

Located At checkbox checked

Supervised From

Start Date:

1/1/14

Street Address 1:

722 Lake Ave

Street Address 2:

City:

Storm Lake

State/Country:

Postal Code:

50588

Private Residence Check Box: Is the Office of Employment address a private residence?

A private residential address will not be included in publicly available versions of this registration form.

YES

Item 2 Other Names

Enter the following information for all other names that the individual has used or is using, or by which the individual is known or has been known, other than the individual´s legal name, since the age of 18.

This space should include, for example, nicknames, aliases, and names used before or after marriage.

Item 3 Residential History

Starting with the current address, enter the following information for all the individual´s residential addresses for the past 5 years. Leave no gaps greater than three months between addresses. Report changes in an amendment to this form as they occur in the future. Private residential addresses will not be included in publicly available versions of this form.

Current Address

From:

To:

Street Address 1:

Street Address 2:

City:

State/Country:

Postal Code:

Item 4 Employment History

Provide complete employment history of the individual for the past 10 years. Include the municipal advisory firm(s) entered in Item 1-B. Enter the following information for each employer. Account for all time, leaving no gaps longer than three months. Include full- and part-time employment, self-employment, military service, and homemaking. Also include statuses such as unemployed, full-time education, extended travel, or other similar statuses. Such statuses should be entered in the space provided below for "Name of Municipal Advisory Firm or Company."

Current Employer

From:

01-1980

To: of Municipal Advisory Firm or Company:

Name of Municipal Advisory Firm or Company:

Ameriprise Financial Services, Inc.

City: of Municipal Advisory Firm or Company:

Minneapolis

State/Country: of Municipal Advisory Firm or Company:

Postal Code:

55402

Municipal Advisor-Related Business?

YES

Investment-Related Business?

YES

Position Held:

Financial Advisor

Item 5 Other Business

Is the individual currently engaged in any other business either as a proprietor, partner, officer, director, employee, trustee, agent or otherwise?

YES

If "Yes", please enter the following details for each other business below:

Other Business

Start Date:

04-2012

Name of Business:

Commercial

Street Address 1:

15 S Minnesota

Street Address 2:

City:

New Ulm

State/Country:

Postal Code:

56073

Is this a municipal advisor-related business?

YES

Is this an investment-related business?

YES

Nature of Business:

Commercial real-estate

Position/Title/Relationship:

co-owner

Approximate No. of Hours/Month Devoted to This Business:

Description of Duties:

There are 4 owners of the building, with Webb being one of them.

Other Business

Start Date:

02-2013

Name of Business:

Single Family Home

Street Address 1:

1904 San Martino

Street Address 2:

City:

Palm Desert

State/Country:

Postal Code:

92211

Is this a municipal advisor-related business?

YES

Is this an investment-related business?

YES

Nature of Business:

Single Family Home

Position/Title/Relationship:

Co-Owner

Approximate No. of Hours/Month Devoted to This Business:

Description of Duties:

Own the property as an investment vehicle

Other Business

Start Date:

10-2001

Name of Business:

DTK Enterprises LLC

Street Address 1:

329 North Main Street

Street Address 2:

City:

Austin

State/Country:

Postal Code:

55912

Is this a municipal advisor-related business?

YES

Is this an investment-related business?

YES

Nature of Business:

LLC

Position/Title/Relationship:

CEO

Approximate No. of Hours/Month Devoted to This Business:

180

Description of Duties:

Part owner of LLC established to pay operating expenses and employee salaries.

Other Business

Start Date:

04-2012

Name of Business:

DTKW LLC

Street Address 1:

329 N Main St

Street Address 2:

Suite 201

City:

Austsin

State/Country:

Postal Code:

55912

Is this a municipal advisor-related business?

YES

Is this an investment-related business?

YES

Nature of Business:

LLC established for the New Ulm Building Ownership

Position/Title/Relationship:

Partner

Approximate No. of Hours/Month Devoted to This Business:

Description of Duties:

Part owner in LLC which was established for the purpose of building ownership. No active involvement other than being a part owner.

Other Business

Start Date:

06-2011

Name of Business:

Grandview Cemetery Association

Street Address 1:

US Hwy 218

Street Address 2:

City:

Austin

State/Country:

Postal Code:

55912

Is this a municipal advisor-related business?

YES

Is this an investment-related business?

YES

Nature of Business:

Cemetary Upkeep

Position/Title/Relationship:

Board Member - Investment Consultant

Approximate No. of Hours/Month Devoted to This Business:

Description of Duties:

Attend meetings as board member and review intestments with the board.

Other Business

Start Date:

11-2012

Name of Business:

Jason Barnes

Street Address 1:

Insert

Street Address 2:

City:

Austin

State/Country:

Postal Code:

55912

Is this a municipal advisor-related business?

YES

Is this an investment-related business?

YES

Nature of Business:

CPA - Tax Services

Position/Title/Relationship:

Professional Alliance

Approximate No. of Hours/Month Devoted to This Business:

Description of Duties:

Help to skill and develop referral relationship

Item 6 Disclosure Information

IF THE ANSWER TO ANY OF THE QUESTIONS IN ITEMS 6A – 6J AND 6M IS "YES," PROVIDE DETAILS OF ALL EVENTS OR PROCEEDINGS ON THE APPROPRIATE DISCLOSURE REPORTING PAGES (DRPs).

One event or proceeding may result in the requirement to answer "Yes" to more than one question below.

Refer to the Glossary of Terms for definitions or descriptions of italicized terms.

CRIMINAL ACTION DISCLOSURE

If the answer is "Yes" to any question below in Item 6A or 6B, complete a Criminal Action DRP.

Item 6A.

(1) Has the individual ever:

(a) been convicted of any felony, or pled guilty or nolo contendere ("no contest") to any charge of a felony in a domestic, foreign, or military court?

YES

(b) been charged with any felony?

YES

(2) Based upon activities that occurred while the individual exercised control over it, has an organization ever:

(a) been convicted of any felony or pled guilty or nolo contendere ("no contest") in a domestic or foreign court to any charge of a felony?

YES

(b) been charged with any felony?

YES

Item 6B.

(1) Has the individual ever:

(a) been convicted of any misdemeanor or pled guilty or nolo contendere ("no contest") in a domestic, foreign or military court to any charge of a misdemeanor involving: municipal advisory activities or a municipal advisor-related or investment-related business or any fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?

YES

(b) been charged with any misdemeanor of the kind described in 6B(1)(a)?

YES

(2) Based upon activities that occurred while the individual exercised control over it, has an organization ever:

(a) been convicted of any misdemeanor or pled guilty or nolo contendere ("no contest") in a domestic or foreign court to any charge of a misdemeanor of the kind specified in 6B(1)(a)?

YES

(b) been charged with any misdemeanor of the kind specified in 6B(1)(a)?

YES

REGULATORY ACTION DISCLOSURE

If the answer is "Yes" to any question below in Items 6C-6G(1), complete a Regulatory Action DRP.

Item 6C.

Has the SEC or the CFTC ever:

(1) found the individual to have made a false statement or omission?

YES

(2) found the individual to have been involved in a violation of any SEC or CFTC regulation or statute?

YES

(3) found the individual to have been a cause of a denial, suspension, revocation, or restriction of the authorization of a municipal advisor-related business or investment-related business to operate?

YES

(4) entered an order against the individual in connection with municipal advisor-related or investment-related activity?

YES

(5) imposed a civil money penalty on the individual, or ordered the individual to cease and desist from any activity?

YES

(6) found the individual to have willfully violated any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, or any rule or regulation under any of such Acts, or any of the rules of the MSRB, or found the individal to have been unable to comply with any provision of such Acts, rules or regulations?

YES

(7) found the individual to have willfully aided, abetted, counseled, commanded, induced, or procured the violation by any person of any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, or any rule or regulation under any of such Acts, or any of the rules of the MSRB?

YES

(8) found the individual to have failed reasonably to supervise another person subject to his or her supervision, with a view to preventing the violation of any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, or any rule or regulation under any of such Acts, or any of the rules of the MSRB?

YES

Item 6D.

(1) Has any other federal regulatory agency or any state regulatory agency or foreign financial regulatory authority ever:

(a) found the individual to have made a false statement or omission or to have been dishonest, unfair or unethical?

YES

(b) found the individual to have been involved in a violation of municipal advisor-related or investment-related regulation(s) or statute(s)?

YES

(c) found the individual to have been a cause of a denial, suspension, revocation, or restriction of the authorization of a municipal advisor-related or investment-related business to operate?

YES

(d) entered an order against the individual in connection with a municipal advisor-related or investment-related activity?

YES

(e) denied, suspended, or revoked the individual's registration or license or otherwise, by order, prevented the individual from associating with a municipal advisor-related or investment-related business or restricted his or her activities?

YES

(2) Has the individual ever been subject to any final order of a state securities commission (or any agency or office performing like functions), a state authority that supervises or examines banks, savings associations, or credit unions, a state insurance commission (or any agency or office performing like functions), a federal banking agency, or the National Credit Union Administration, that:

(a) bars the individual from association with an entity regulated by such commission, authority, agency, or office, or from engaging in the business of securities, insurance, banking, savings association activities, or credit union activities; or

YES

(b) is based on violations of any laws or regulations that prohibit fraudulent, manipulative, or deceptive conduct?

YES

Item 6E.

Has any self-regulatory organization or commodities exchange ever:

(1) found the individual to have made a false statement or omission?

YES

(2) found the individual to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC)?

YES

(3) found the individual to have been a cause of a denial, suspension, revocation, or restriction of the authorization of a municipal advisor-related or investment-related business to operate?

YES

(4) disciplined the individual by expelling or suspending him or her from membership, barring or suspending the individual's association with its members, or restricting the individual's activities?

YES

(5) found the individual to have willfully violated any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, or any rule or regulation under any of such Acts, or any of the rules of the MSRB, or found the individual to have been unable to comply with any provision of such Acts, rules or regulations?

YES

(6) found the individual to have willfully aided, abetted, counseled, commanded, induced, or procured the violation by any person of any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, or any rule or regulation under any of such Acts, or any of the rules of the MSRB?

YES

(7) found the individual to have failed reasonably to supervise another person subject to your supervision, with a view to preventing the violation of any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Commodity Exchange Act, or any rule or regulation under any of such Acts, or any of the rules of the MSRB?

YES

Item 6F.

Has the individual ever had an authorization to act as an attorney, accountant or federal contractor that was revoked or suspended?

YES

Item 6G.

Has the individual been notified, in writing, that he or she is currently the subject of any:

(1) regulatory complaint or proceeding that could result in a "Yes" answer to any part of 6C, D or E?

YES

INVESTIGATION DISCLOSURE

If the answer is "Yes" to Item 6G(2) below, complete an Investigation DRP.

(2) investigation that could result in a "Yes" answer to any part of 6A, B, C, D or E? (If "Yes," complete the Investigation Disclosure Reporting Page.)

YES

CIVIL JUDICIAL ACTION DISCLOSURE

If the answer is "Yes" to any question below in Item 6H, complete a Civil Judicial Action DRP.

Item 6H.

(1) Has any domestic or foreign court ever:

(a) enjoined the individual in connection with any municipal advisor-related or investment-related activity?

YES

(b) found that the individual was involved in a violation of any municipal advisor-related or investment-related statute(s) or regulation(s)?

YES

(c) dismissed, pursuant to a settlement agreement, a municipal advisor-related or investment-related civil action brought against the individual by a domestic jurisdiction or foreign financial regulatory authority?

YES

(2) Is the individual named in any currently pending civil proceeding that could result in a "Yes" answer to any part of 6H(1)?

YES

CUSTOMER COMPLAINT/ARBITRATION/CIVIL LITIGATION DISCLOSURE

If the answer is "Yes" to any question below in Item 6I, complete a Customer Complaint/Arbitration/Civil Litigation DRP.

Item 6I.

(1) Has the individual ever been the subject of a municipal advisor-related or investment-related, customer-initiated (written or oral) complaint that alleged that he or she was involved in fraud, false statements, omissions, theft, embezzlement, wrongful taking of property, bribery, forgery, counterfeiting, extortion, or dishonest, unfair or unethical practices, which:

(a) is still pending, or;

YES

(b) was settled?

YES

(2) Has the individual ever been the subject of a municipal advisor-related or investment-related, customer-initiated arbitration or civil litigation that alleged that he or she was involved in fraud, false statements, omissions, theft, embezzlement, wrongful taking of property, bribery, forgery, counterfeiting, extortion, or dishonest, unfair or unethical practices, which:

(a) is still pending, or;

YES

(b) resulted in an arbitration award or civil judgment against the individual, regardless of amount, or;

YES

TERMINATION DISCLOSURE

If the answer is "Yes" to any question below in Item 6J, complete a Termination DRP.

Item 6J.

Has the individual ever voluntarily resigned, been discharged or permitted to resign after allegations were made that accused him or her of:

(1) violating municipal advisor-related or investment-related statutes, regulations, rules, or industry standards of conduct?

YES

(2) fraud or the wrongful taking of property?

YES

(3) failure to supervise in connection with municipal advisor-related or investment-related statutes, regulations, rules or industry standards of conduct?

YES

FINANCIAL DISCLOSURE

Item 6K.

Within the past 10 years:

(1) has the individual made a compromise with creditors, filed a bankruptcy petition or been the subject of an involuntary bankruptcy petition?

YES

(2) based upon events that occurred while the individual exercised control over it, has an organization made a compromise with creditors, filed a bankruptcy petition or been the subject of an involuntary bankruptcy petition?

YES

(3) based upon events that occurred while the individual exercised control over it, has a broker or dealer been the subject of an involuntary bankruptcy petition, had a trustee appointed, or had a direct payment procedure initiated under the Securities Investor Protection Act?

YES

Item 6L.

Has a bonding company ever denied, paid out on, or revoked a bond for the individual?

YES

JUDGMENT/LIEN DISCLOSURE

If the answer is "Yes" to any question below in Item 6M, complete a Judgment/Lien DRP.

Item 6M.

Are there currently any unsatisfied judgments or liens against the individual?

YES

Item 7 Signature and Self-Certification

NOTE: In addition to completing Item 7, to the extent that the individual is a non-resident, a Form MA-NR completed and signed by the individual must be attached as an exhibit to this Form MA-I.

Complete Either Subpart A or Subpart B:

By typing a name in the signature field, the signatory acknowledges and represents that the entry constitutes in every way, use, or aspect, his or her legally binding signature.

A. For Municipal Advisory Firms filing this form:

The municipal advisory firm has obtained and retained written consent from the individual that service of any civil action brought by, or notice of any proceeding before, the SEC or any self-regulatory organization in connection with the individual's municipal advisory activities may be given by registered or certified mail to the individual's address given in Item 1.

I, the undersigned, sign this Form MA-I on behalf of, and with the authority of, the municipal advisory firm that is filing this form. The municipal advisory firm and I both certify, under penalty of perjury under the laws of the United States of America, that the information and statements made in this Form MA-I, including exhibits and any other information submitted, are true and correct, and that I am signing this Form MA-I as a free and voluntary act.

Date:

6/2/17

By (signature):

Elizabeth Hansen

Title:

Vice President & Chief Compliance Officer

B. For Natural Person Municipal Advisors (Sole Proprietors) filing this form:

The individual named below consents that service of any civil action brought by, or notice of any proceeding before, the SEC or any self-regulatory organization in connection with the individual's municipal advisory activities may be given by registered or certified mail to the individual's address given in Item 1.

I, the undersigned, certify, under penalty of perjury under the laws of the United States of America, that the information and statements made in this Form MA-I, including exhibits and any other information submitted, are true and correct, and that I am signing this Form MA-I Execution Page as a free and voluntary act.

Date:

Full Legal Name of Municipal Advisor:
Enter all the letters of each name and not initials or other abbreviations. If no middle name, enter NMN on that line.

Last Name:

First Name:

Middle Name:

Suffix:

Individual CRD No. (if any):

By (signature):

Warning: Intentional misstatements or omissions of fact constitute Federal criminal violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).12.

CRIMINAL ACTION DISCLOSURE REPORTING PAGE (MA-I)

CRIMINAL ACTION DRP – PART 1

This Disclosure Reporting Page (DRP MA-I) is an radio button unchecked INITIAL or radio button checked AMENDED response to report details for affirmative response(s) to Question(s) 6A and 6B on Form MA-I.

Check the question(s) to which this DRP pertains:

6A(1)(a) checkbox unchecked

6A(1)(b) checkbox unchecked

6A(2)(a) checkbox unchecked

6A(2)(b)

6B(1)(a) checkbox checked

6B(1)(b) checkbox unchecked

6B(2)(a) checkbox unchecked

6B(2)(b)

Is this DRP an amendment that seeks to remove a previously filed DRP concerning the individual from the record?

YES

If "Yes," the reason the DRP should be removed is:

radio button unchecked The event or proceeding was resolved in the individual's favor
The DRP was filed in error.

Explain the circumstances:

How to Report an Event or Proceeding on a Criminal Action DRP: Use a separate DRP for each event or proceeding. One event may result in more than one affirmative answer to Items 6A(1)(a), 6A(1)(b), 6A(2)(a), 6A(2)(b), 6B(1)(a), 6B(1)(b), 6B(2)(a), and/or 6B(2)(b). Use this DRP to report all charges, including multiple counts of the same charge, arising out of the same event and filed in one criminal action. Separate cases arising out of the same event, and unrelated criminal actions, must be reported on separate DRPs.

How to Provide Court Documents: Applicable court documents (i.e., criminal complaint, information or indictment, as well as judgment of conviction or sentencing documents) must be attached as an exhibit if not previously submitted.

DRP On File for This Event:Is an accurate and up-to-date DRP containing the information regarding the individual required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes Provide the applicable information indicated below that identifies where the DRP or other disclosure may be found. radio button unchecked

Note: The filer may identify a DRP filed by the individual directly, or filed by another SEC-registrant about the individual as an associated person.

If the answer is "Yes", Provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing: For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Name on Registration:

Webb Lloyd David

CRD No.:

837814

Disclosure Occurrence No.:

54001

2. Form MA Filing: For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration:

MA Registration Number:

Date of filing that contains the DRP (MM/DD/YYYY):

Accession number of the filing:

3. Form MA-I Filing: For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name of Individual:

MA-I File Number:

Date of filing that contains the DRP (MM/DD/YYYY):

Accession number of the filing:

NOTE: The completion of all or any part of this form does not relieve the individual or any municipal advisor with which the individual is associated of the obligation to update any relevant Form MA or IARD or CRD records.

Ameriprise Financial Services, Inc. – ‘MA-I/A’ on 6/6/17

On: Tuesday, 6/6/17, at 9:57am ET · As of: 6/2/17 · Accession #: 49709-17-21 · File #: 868-04114

Previous ‘MA-I’: ‘MA-I/A’ on 6/2/17 · Latest ‘MA-I’: This Filing

Amendment to Information Regarding a Natural Person Who Engages in Municipal Advisory Activities — Form MA-IFiling Table of Contents

This ‘MA-I/A’ Document is an XML Data File that may be rendered in various formats:

Form MA-I Applicant's Information

Submission Contact Information

Notification Information

PART 1

WARNING

Type of Filing:

Item 1 Identifying Information

A. The Individual

B. Municipal Advisory Firms Where the Individual Is Employed

(1) Municipal Advisory Firm's Registration Information:

(2) Office

Item 2 Other Names

Item 3 Residential History

Current Address

Item 4 Employment History

Current Employer

Item 5 Other Business

Other Business

Other Business

Other Business

Other Business

Other Business

Other Business

Item 6 Disclosure Information

CRIMINAL ACTION DISCLOSURE

Item 6A.

Item 6B.

REGULATORY ACTION DISCLOSURE

Item 6C.

Item 6D.

Item 6E.

Item 6F.

Item 6G.

INVESTIGATION DISCLOSURE

CIVIL JUDICIAL ACTION DISCLOSURE

Item 6H.

CUSTOMER COMPLAINT/ARBITRATION/CIVIL LITIGATION DISCLOSURE

Item 6I.

TERMINATION DISCLOSURE

Item 6J.

FINANCIAL DISCLOSURE

Item 6K.

Item 6L.

JUDGMENT/LIEN DISCLOSURE

Item 6M.

Item 7 Signature and Self-Certification

Complete Either Subpart A or Subpart B:

A. For Municipal Advisory Firms filing this form:

B. For Natural Person Municipal Advisors (Sole Proprietors) filing this form:

CRIMINAL ACTION DISCLOSURE REPORTING PAGE (MA-I)

CRIMINAL ACTION DRP – PART 1

Amendment to Information Regarding a Natural Person Who Engages in Municipal Advisory Activities — Form MA-I
Filing Table of Contents