URBAN FUTURES, INC. (4) - Laserfiche WebLink

Home Browse Search

C.Registered Representatives (1)Approximately how many of the employees who are included in the response to 0 part B are registered representatives of a broker-dealer?if none,enter a zero. (2)Approximately how many are investment adviser representatives?if none,enter c a zero. D. Firms and Other Persons that Solicit on Behalf of the Applicant Approximately how many firms and other persons who are not employed by the o applicant and who are not otherwise associated persons of the applicant solicit clients on the applicant's behalf?(If none,enter a zero.Count a firm only once;do not count each of the firm's employees that solicits on the applicant's behalf.) Please list the names of these firms and other persons on Section 4-D of Schedule D. E.Employees Also Acting as Affiliates of the Applicant (1)Does the applicant have any employees that also do business independently on OYES @NO the applicant's behalf as affiliates of the applicant? (2)Total number of such employees: (3)List the names of these employees on Section 4-E of Schedule D. Clients F.Types of Clients Approximately how many clients did the applicant serve in the context of its aao municipal advisory activities during its most-recently completed fiscal year?(If none, enter a zero and check box 5 below). The applicant has the following types of clients: Check all that apply. M(1)Municipal Entities l (2)Nan-profit organizations(e.g.,501(c)(3)organizations)who are obligated persons ©(3)Corporations or other businesses not listed above who are obligated persons (4)Other:(specify) ! (5)Not applicable-applicant engages only in solicitation;does not serve clients in the context of Its municipal advisory activities G.Solicitations Of Municipal Entities and Obligated Persons Approximately how many municipal entities and obligated persons were solicited by the applicant on behalf of a third-party during its most-recently completed fiscal year?(if the applicant solicits its clients in addition to serving these clients in the context of its municipal advisory activities,the clients should be counted in the response to this Part G even if counted in Part F.) (1)Municipal Entities: Q If none,enter a zero. (2)Obligated Persons: p If none,enter a zero (3)Total: o H.Types of Persons Solicited The applicant solicits the following types of persons: Check all that apply. 0(1)Public pension funds C7(2)529 Plans (3)Local government investment pools (4)State government investment pools (5)Hospitals (6)Colleges 1E1(7)Other:(specify) I (8)Not applicable—applicant only serves clients;does not engage in solicitation in the context of its municipal advisory activities Compensation Arrangements I.Applicant is compensated for its advice to or on behalf of municipal entities or obligated persons with respect to municipal financial products or the Issuance of municipal securitlos by; Check all that apply. (1)Hourly charges (2)Fixed fees(not contingent on the issuance of municipal securities) t (3)Contingent fees 0(4)Subscription fees(for a newsletter or other publications) L(5)Other:(specify) Cl(6)Not applicable—applicant engages only in solicitation;does not serve clients in the context of its municipal advisory activities J.Applicant is compensated for its solicitation activities by: Check all that apply.