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11.Rea[estate broker,dealer,or agent 0 ri <br /> 12.Insurance company,broker,or agent in P 1 <br /> 13.Banking or thrift institution(including a 0 El <br /> separately identifiable department or division of a <br /> bank) <br /> 14.Investment adviser(including financial El Il <br /> planners) <br /> 15.Attorney or law firm(Jurisdiction(s)where 0 El <br /> licensed) <br /> Jurisdiction(s)where licensed(specify) <br /> -1 <br /> 16.Accountant or accounting firm(Jurisdiction(s) Il 10 <br /> where licensed) <br /> Jurisdiction(s)where licensed(specify) <br /> I <br /> 17.Engineer or engineering firm f <br /> r�Jurisdiction(s)where licensed <br /> 18.Other financial product advisor <br /> (specify) <br /> B.Other Business <br /> (1)Is applicant actively engaged in any other 0 Yes 0 No <br /> business not listed in Part A of this Item(other <br /> than engaging in municipal advisory activities)? <br /> (2)If"Yes"to Part B-1.,is this other business Q Yes @ No <br /> applicant's primary business? <br /> (3)If"Yes"to Part 13-2.,describe the other <br /> business on Section 5-13 of Schedule D. <br /> Item 6 Financial Industry and Other ActiVities of Associated Persons <br /> A.Applicant has one or more associated persons that is a: <br /> Check all that apply. <br /> Associated Person'herein refers to a person who is an associated person of a municipal advisor.Note that"associated person"includes employees <br /> and persons with control over the municipal advisor that do not themselves engage in municipal advisory activitles,but does not include employees that <br /> are performing solely clerical,administrative,support or other similar functions.Note also that more than one box maybe applicable to any such <br /> associated person.For example,if an associated person is both a swap dealer and security-based swap adviser,check both boxes(4)and(5)below. <br /> U(1)Broker-dealer,municipal securities dealer,or government securities broker or dealer <br /> r](2)Investment company(including mutual funds) <br /> (3)Investment adviser(including financial planners) <br /> (4)Swap dealer <br /> Cr7(5)Security-based swap dealer <br /> 1l(6)Major swap participant <br /> 111(7)Major security-based swap participant <br /> V1(8)Commodity pool operator(whether registered or exempt from registration) <br /> r1(9)Commodity trading advisor(whether registered or exempt from registration) <br /> n(10)Futures commission merchant <br /> r!(11)Banking or thrift institution <br /> C](12)Trust company <br /> (13)Accountant or accounting firm <br /> 1(14)Attorney or law firm <br /> [ (15)Insurance company or agency <br /> C](16)Pension consultant <br /> El(17)Real estate broker or dealer <br /> C7{18}Sponsor or syndicator of limited partnerships <br />