|
18000682
|
COM/ COMDINC/ COMDINCBDBS
|
831-01
|
Electrical Safety Inspector Files
|
|
|
06/26/2003
|
|
|
18000684
|
COM/ COMLIQC/ COMLIQCAGOP
|
AO-02
|
Annual Dollar Sales
|
|
|
06/26/2003
|
|
|
18000685
|
COM/ COMSEC7/ COMSEC7REGS
|
77-01
|
Registration and Licensing Investigatory Exams
|
|
|
07/16/2009
|
|
|
18000686
|
COM/ COMSEC7/ COMSEC7ENFO
|
74-05
|
Enforcement Division Orders
|
|
|
07/16/2009
|
|
|
18000687
|
COM/ COMSEC7/ COMSEC7ENFO
|
74-02
|
Enforcement Complaint Correspondence
|
|
|
07/16/2009
|
|
|
18000688
|
COM/ COMSEC7/ COMSEC7ENFO
|
74-01
|
Enforcement Investigative Files & Examinations
|
|
|
07/16/2009
|
|
|
18000690
|
COM/ COMSEC7/ COMSEC7LIC8
|
72-09
|
Investment Adviser Representatives
|
|
|
05/26/2016
|
|
|
18000691
|
COM/ COMSEC7/ COMSEC7LIC8
|
72-08
|
Investment Advisers
|
|
|
07/16/2009
|
|
|
18000692
|
COM/ COMSEC7/ COMSEC7LIC8
|
72-03
|
Salesperson''s History File
|
|
|
05/26/2016
|
|
|
18000693
|
COM/ COMSEC7/ COMSEC7LIC8
|
72-01
|
Dealer Files
|
|
|
05/26/2016
|
|
|
18000694
|
COM/ COMSEC7/ COMSEC7REGS
|
71-07
|
Form U-2/U-2A, Consent to Service of Process
|
|
|
07/16/2009
|
|
|
18000695
|
COM/ COMSEC7/ COMSEC7REGS
|
71-06
|
Exempt Transactions under O.R.C. 1707.03(Q)&(W)
|
|
|
07/16/2009
|
|
|
18000696
|
COM/ COMSEC7/ COMSEC7REGS
|
71-03
|
Registration by Coor/Qual. and NF''''''''s
|
|
|
07/16/2009
|
|
|
18000697
|
COM/ COMSEC7/ COMSEC7REGS
|
71-05
|
Filings pursuant to Revised Code 1707.04 & .041
|
|
|
07/16/2009
|
|
|
18000698
|
COM/ COMSEC7/ COMSEC7REGS
|
71-04
|
Registrations by Description & Exempt Transactions
|
|
|
07/16/2009
|
|
|
18000699
|
COM/ COMSFM5/ COMSFM5INVB
|
51-05
|
Ohio Suspicious Burn Report
|
|
|
09/02/2003
|
|
|
18000700
|
COM/ COMOFA1/ COMOFA1INVB
|
51-06
|
Property and Insurance Loss Registers
|
|
|
08/02/2024
|
|