The broker-dealer, investment adviser, BD agent or IA rep in question may only transact business in a state if first registered, excluded or exempted from state broker-dealer, investment adviser, BD agent or IA rep registration requirements, as may be; and follow-up, individualized responses to persons in a state by such broker-dealer, investment adviser, BD agent or IA rep that involve either the effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, as may be, will not be made absent compliance with state broker-dealer, investment adviser, BD agent or IA rep registration requirements, or an applicable exemption or exclusion. Investment products and services available only to residents of Florida, Ohio, Washington, New Jersey, Pennsylvania, Louisiana and Alabama, unless securities licensing is approved prior to investment products being purchased. Fee-based investment advisory services available only to residents of Florida and Ohio, unless such activity is exempted by de minimis regulations. *********************************** Securities offered through TRIAD ADVISORS, INC., Member FINRA & SIPC.

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