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Form MA
<br /> APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION
<br /> DOMESTIC MUNICIPAL ADVISOR EXECUTION
<br /> You must complete the following execution page to Form MA.This execution page must be signed and attached to your initial application for SEC
<br /> registration and all amendments to registration,
<br /> Appointment of Agent for Service of Process
<br /> By signing this Form MA,you,the undersigned advisor,irrevocably appoint the Secretary of State or other legally designated officer,of the state in
<br /> which you maintain your principal office and place of business,as your agents to receive service,and agree that such persons may be served any
<br /> process,pleadings,subpoenas,or other papers in(a)any investigation or administrative proceeding conducted by the Commission that relates to the
<br /> applicant or about which the applicant may have information;and(b)any civil suit or action brought against the applicant or to which the applicant has
<br /> been joined as defendant or respondent,in any appropriate court in any place subject to the jurisdiction of any state or of the United States of America
<br /> or of any of its territories or possessions or of the District of Columbia,where the investigation,proceeding or cause of action arises out of or relates to
<br /> or concerns municipal advisory activities of the municipal advisor. The applicant stipulates and agrees that any such civil suit or action or administrative
<br /> proceeding may be commenced by the service of process upon,and that service of an administrative subpoena shall be effected by service upon the
<br /> above-named Agent for Service of Process,and that service as aforesaid shall be taken and held in all courts and administrative tribunals to be valid
<br /> and binding as if personal service thereof had been made.
<br /> Signature
<br /> I,the undersigned,sign this Form MA on behalf of,and with the authority of,the municipal advisor. The municipal advisor and I both certify,under
<br /> penalty of perjury under the laws of the United States of America,that the information and statements made in this Form MA,including exhibits and any
<br /> other information submitted,are true and correct,and that I am signing this Form MA as a free and voluntary act.
<br /> I cortify that the advisor's books and records will be preserved and available for inspection as required by law. Finally,I authorize any person having
<br /> custody or possession of these books and records to make them available to federal regulatory representatives.
<br /> Heff Pickett 09-06-2024
<br /> Signature: Date:
<br /> Jeff Pickett W
<br /> Advisor CRD Number(if
<br /> any):
<br /> Principal
<br /> Title:
<br /> FORM MA
<br /> APPLICATION FOR "MUNICIPAL ADVISOR REGISTRATION"
<br /> NON-RESIDENT MUNICIPAL ADVISOR EXECUTION
<br /> Instructions:If you are a non-resident,you must complete these steps:
<br /> 1,Execution Pagg:You must complete the following non-resident execution page to Form MA.This execution page must be signed and attached to
<br /> your initial application for SEC registration and all amendments to registration.
<br /> 2.Opinion of Counsel:You must also attach to Form MA an Opinion of Counsel.See General Instructions.
<br /> 3.Form MA-NR:You must also attach to Form MAone or more executed Form MA-NR(s)forthe non-resident municipal advisor applicant,and,if any,
<br /> the non-resident general partner(s)and/or non-resident managing agents.See General Instructions for Form MA-NR.
<br /> Non-Resident Municipal Advisor Undertaking Regarding Books and Records
<br /> By signing this Form MA,you agree to provide,at your own expense,to the U.S,Securities and Exchange Commission at its principal office in
<br /> Washington Q.C.,at any Regional or District Office of the Commission,or at any one of its offices in the United States,as specified by the Commission,
<br /> correct,current,and complete copies of any or all records that you are required to maintain by law, This undertaking shall be binding upon you,your
<br /> heirs,successors and assigns,and any person subject to your written irrevocable consents or powers of attorney or any of your general partners and
<br /> managing agents.
<br /> Signature
<br /> I,the undersigned,sign this Form MA on behalf of,and with the authority of,the non-resident municipal advisor.The municipal advisorand I both certify,
<br /> under penalty of perjury under the laws of the United States of America,that the information and statements made in this Form MA,including exhibits
<br /> and any other information submitted,are true and correct,and that I am signing this Form MA as a free and voluntary act.
<br /> I certify that the municipal advisor's books and records will be preserved and available for inspection as required by law.Finally,I authorize any person
<br /> having custody or possession of these books and records to make them available to federal regulatory representatives. Further,attached to this Form
<br /> MA as an exhibit is an opinion of counsel that the municipal advisorcan,as a matter of law,provide the Commission with access to the books and
<br /> records of such municipal advisor,as required by law,and that the municipal advisor can,as a matter of law,submit to inspection and examination by
<br /> the Commission. Finally,attached as an exhibit to this Form MA is one or more executed Form MA-NR(s)for the non-resident municipal advisor
<br /> rapplicant,and,if any,the non-resident general partner(s)and/or non-resident managing agents.
<br /> Signature: Date:
<br /> Printed Name: Advisor CRD Number(if Title:
<br /> any):
<br /> SCHEDULE A
<br /> Direct Owners and Executive Officers of the Applicant
<br />
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