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0(19)Engineer or engineering firm <br /> El(2 0)Other municipal advisor <br /> Total Associated Persons: <br /> Provide the total number of such associated <br /> persons: <br /> Provide the total number of such associated persons,not the number of boxes checked.For example,if the applicant's associated persons are 2 <br /> broker-dealers, 1 investment company,and 2 pension consultants,then 3 boxes would be checked in Item 6-A.1 to 20,while the total number of such <br /> associated persons entered in Item 6-A., Total Associated Persons,would be 5.if there are no associated persons,enter 0(zero). <br /> B.Applicant must list all such associated persons, including foreign associated persons, on Section 6 <br /> of Schedule D. <br /> If Item 6-A. Total Associated Persons,is 2 or more,the applicant must complete a separate 5egUon 6 of Schedule D for each associated person. <br /> Item 7 Participation or Interest of Applicant, or of Associated Persons of Applicant, in <br /> Municipal Advisory Client or Solicitee Transactions <br /> Proprietary Interest in Municipal Advisory Client or Solicitee Transactions <br /> A.Does applicant or any associated person: <br /> (1)buy securities or other investment or derivative products for itself from clients or C Yes @ No <br /> solicitees in the context of its municipal advisory activities,or sell securities it owns <br /> to such clients or solicitees? <br /> (2)buy or sell for itself securities(other than shares of mutual funds)or other 0 Yes @ No <br /> investment or derivative products that the applicant also recommends to such clients <br /> or solicitees? <br /> (3)enter into derivatives contracts with such clients or solicitees? C Yes @ No <br /> (4)recommend securities or other investment or derivative products to such clients C Yes @ No <br /> or solicitees in which applicant or any associated person has some other proprietary <br /> (ownership)interest(other than those mentioned in Items 7-A(1),(2)or(3)above)? <br /> Sates Interest in Client or Solicitee Transactions <br /> B. Does applicant or any associated person: <br /> (1)recommend purchases of securities or derivatives to clients or solicitees that are 10 Yes @ No <br /> served by the applicant or associated person,for which the applicant or any <br /> associated person serves as underwriter,general or managing partner,or purchaser <br /> representative? <br /> (2)recommend purchases or sales of securities or derivatives to such clients or Yes 0 No <br /> solicitees in which applicant or any associated person has any other sales interest <br /> (other than the receipt of sales commissions as a broker or registered representative <br /> of a broker-dealer)? <br /> Investment or Brokerage Discretion <br /> C. Does applicant or any associated person have discretionary authority to determine the: <br /> (1)securities or other investment or derivative products to be bought or sold for the C3 Yes C�No <br /> account of a client or solicitee? <br /> (2)amount of securities or other investment or derivative products to be bought or a Yes @ No <br /> sold for the account of such a client or solicitee? <br /> (3)(a)broker or dealer to be used for a purchase or sale of securities or other 0 Yes 0 No <br /> investment or derivative products for the account of such a client or solicitee? <br /> (b)If"Yes,"are any of the brokers a dealers associated persons? Yes 0 No <br /> (4)commission rates or other fees to be paid to a broker or dealer for such a clients Q Yes J No <br /> or solicitee's securities transactions or transactions In other investment or derivative <br /> products? <br /> D. <br /> (1)Does applicant or any associated person recommend brokers,dealers or Yes C)No <br /> l�nvestment advisers to clients or solicitees in the context of its municipal advisory <br /> activities? <br /> (2)If"Yes,"is any such broker,dealer,or investment adviser an associated person? Yes 0 No <br /> In responding to items 7-E and 7-F below,consider all cash and non-cash compensation that the applicant or an associated person gave or received <br /> from any person in exchange for referrals of such clients or solicitees,including any bonus that is based,at least in part,on the number or amount of <br /> such referrals. <br /> E. Does the applicant or any associated person, directly or indirectly,compensate any person for referrals of clients or <br /> solicitees in connection with municipal advisory activities? <br /> 1 Yes I'No <br />