Broker Dealer Compliance | Luxor Financial Group

First Name:

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Address 1:

Address 2:

City:

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Phone Number:

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Years in Business:

Types of products in which you specialize:

Check all that apply

Stocks Bonds Options
Managed Money Retirement Planning Institutional Trading
Foreign Accounts Annuities Mutual Funds
Other

Trailing 12:

What licenses do you hold?:

How many years are you licensed?:

Any U-4 Issues?: Yes No

Timeframe for switching:

What's important for your business?: