Fillable HF168 N/A Speaking Engagement Request-Advertising Compliance

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HF168 N/A Speaking Engagement Request-Advertising Compliance

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Updated 02/12 Harbor Financial Services, LLC - Member FINRA & SIPC 1
11 N. Water Street
Ste 21290
Mobile, AL 36602
(251) 650-0840
Fax (251) 281-2007
HF168
N/A
Form #
Account #
Branch #
FA #
Speaking Engagement Request-Advertising Compliance
FA Name:______________________________________________
The Financial Advisor/Registered Representative must complete this form and submit to Compliance
PRIOR to the Seminar Date.
Date of Seminar
# of Attendees Expected
Type of Seminar (Group, Rotary Club, General Public Location where Seminar will be held
Address of Sponsor
Name of Speaker(s)
Title of Program
Outline of subjects covered
Attach Copies of material to be used during the seminar, i.e. overhead slides, pamphlets, etc.
Please Note: Include enough detail regarding the items presented. All materials must be disclosed to
Harbor Financial Services, LLC Compliance Department in order to determine if the presentation
complies with the various securities rules & regulations. This is a legal requirement.
Signature of Financial Advisor/Registered Representative _____________________________________
Approved by: ___________________________________________ Date Approved: ________________
19C
409P
Amanda Daughtry
February 18-19 2021
30
SFA Employees/general public
1817 Wilson Dr, Nacogdoches, TX 75962
Luke Britt
Luke Britt
12400 Coit RdSuite 1000Dallas, TX 75251, US
Amanda Daughtry, Luke Britt
Financial Wellness Seminars
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HF168 NA Speaking Engagement Request-Advertising Compliance

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Completed 4 February 2021

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