|
|
|
|
Issued to:
|
|
Smart Investor
|
|
|
|
which has demonstrated its conformity to all Practices for:
|
Investment Advisor Certification
Click to view practices
|
|
for the following Program:
|
|
Investment Advisory Services for: ERISA Defined Benefit and Defined Contribution Plans, including discretionary advisory services within the ERISA 3(38) and Fiduciary Adviser (PPA) safe harbors, Tribal Governments, Not-for-Profit Retirement Plans including 403b and 457 Plans, Private Clients including High Net Worth Individuals, Trusts and Businesses
Foundations, Endowments and Charitable Remainder Trusts.
|
|
Date of Current Registration:
|
2019.10.10
|
|
Date of Initial Registration:
|
2013.10.10
|
|
CEFEX file:
|
CFX10245
|
|
|
|
On behalf of the CEFEX Registration Committee
|
|
|
David Vriesenga
Chief Registration Officer
|
|