Gateway Disclosure
Due to various state regulations and registration requirements concerning the dissemination of
information regarding investment products and services, we are currently required to limit
access of the following pages to individuals residing in states where we are currently registered.
A broker/dealer (BD), investment advisor (IA), BD agent or IA representative may only transact
business in a particular state after licensure or satisfying qualifications and requirements of that
state, or only if they are excluded or exempted from the states broker/dealer, investment
adviser, or BD agent or IA representative requirements, as the case may be; and follow-up,
individualized responses to consumers in a particular state by broker/dealer, investment adviser,
BD agent or IA representative that involve either the effecting or attempting to effect
transactions in securities or the rendering of personalized investment advice for compensation,
as the case may be, shall not be made without first complying with the states broker/dealer,
investment adviser, BD agent or IA rep requirements, or pursuant to an applicable state
exemption or exclusion.
Investments products and services available only to residents of: Kentucky (KY), Ohio (OH), and
Indiana (IN)
Fee-based advisory services are available only to residents of: Kentucky (KY), Ohio (OH), and
Indiana (IN)
We are licensed to sell insurance products in the following states of: Kentucky (KY), Ohio (OH),
and Indiana (IN)
Due to various state regulations and registration requirements concerning the dissemination of
information regarding investment products and services, we are currently required to limit
access of the following pages to individuals residing in states where we are currently registered.
A broker/dealer (BD), investment advisor (IA), BD agent or IA representative may only transact
business in a particular state after licensure or satisfying qualifications and requirements of that
state, or only if they are excluded or exempted from the states broker/dealer, investment
adviser, or BD agent or IA representative requirements, as the case may be; and follow-up,
individualized responses to consumers in a particular state by broker/dealer, investment adviser,
BD agent or IA representative that involve either the effecting or attempting to effect
transactions in securities or the rendering of personalized investment advice for compensation,
as the case may be, shall not be made without first complying with the states broker/dealer,
investment adviser, BD agent or IA rep requirements, or pursuant to an applicable state
exemption or exclusion.
Investments products and services available only to residents of: Kentucky (KY), Ohio (OH), and
Indiana (IN)
Fee-based advisory services are available only to residents of: Kentucky (KY), Ohio (OH), and
Indiana (IN)
We are licensed to sell insurance products in the following states of: Kentucky (KY), Ohio (OH),
and Indiana (IN)
Walden Advisors
I am a resident of the above states ENTER HERE I am not a resident of the above states EXIT HERE |