Treestone Financial

A broker/dealer, investment advisor, BD agent or IA rep may only transact business in a particular state after licensure or satisfying qualification needs of that state, or only if they are excluded or exempted from the states broker/dealer, investment advisor, BD or agent IA rep needs, as the case may be; and follow-up, individualized responses to users in a particular state by broker/dealer, investment advisor, BD agent or IA rep that involve either the effecting or attempting to effect transactions in securities or the rendering of personalized investment advise for compensation.