| State | Class | Description | Cancellation | Min | Max | Action |
|---|---|---|---|---|---|---|
| UT | License/Permit | Utah Investment Adviser | 60 | $35,000 | $35,000 | |
| UT | License/Permit | Utah Investment Adviser | 60 | $10,000 | $10,000 | |
| UT | License/Permit | Utah Securities Agent | 60 | $25,000 | $25,000 | |
| UT | License/Permit | Utah Securities Broker-Dealer (Broker/Dealer) | 60 | $100,000 | $100,000 |