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Compliance Documents

Type or print clearly. Representatives are required complete this form to notify the broker/dealer of outside activities performed beyond the duties of a registered representative with Brighton Securities. Activities include but are not limited to insurance sales, tax planning, accounting services, being a board member of any entity, or offering services as an independent Registered Investment Advisor.

Complete, sign, date this form and return to the Compliance Department or designated Principal. This notification must be received and approved by a designated Principal prior to the representative engaging in the activity. It is the responsibility of the representative to ensure notification is made in accordance with FINRA and Company policies and procedures.

If you have multiple outside business activities, a separate form must be completed for each activity.

Is this an update of a previously disclosed outside activity? (required)
Your specific affiliation to this organization: (required)
Is this a publicly traded company? (required)
Do you have check writing authority for this business? (required)
Does this business involve the sale of any of the following products or services?
Compensation (required)
Are any of your securities clients also partners, shareholders, co-owners or associated with this outside business in an (required)
Are any of your securities clients also clients of this outside business activity? (required)
Are any of the employees, partners, co-owners or associated persons of this outside business registered with another bro (required)
Is this outside business activity in any way related to the securities industry? (required)
Do any of your duties involve raising capital or arranging credit? (required)
Have you accepted compensation from any person or entity (including a partnership, corporation, association) not covered (required)

The undersigned registered representative certifies that these statements are true and correct to the best of his/her knowledge. The registered representative also agrees to notify Brighton Securities immediately should any of the information change. If outside business activity is approved, the undersigned registered representative understands that their Form U4 will be updated to reflect this activity.

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