| Notification of Changes for Business Entity |
| General Information | |
| Business Entity Name: | WUNDERLICH SECURITIES |
| Incorporation / Formation Date: | |
| FEIN: | 621518255 |
| Ohio License Number: | 29847 |
| NPN: | 2753779 |
| DBA / Trade Name: | |
| State of Domicile: | TN |
| County: | USA |
| Business Address | |
| Address 1: | 6000 POPLAR AVE SUITE 150 |
| Address 2: | |
| City: | MEMPHIS |
| State: | TN |
| Zip: | 38119 |
| Phone: | 901-255-1417 |
| Fax: | 901-405-2053 |
| Business Web Site Address: | CLARICEKELLER@WUNDERNET.COM |
| Business Email Address: | |
| Mailing Address | |
| Address 1: | 6000 POPLAR AVE SUITE 150 |
| Address 2: | |
| City: | MEMPHIS |
| State: | TN |
| Zip: | 38119 |
| | |
| Indicate the type of change you are seeking |
| Address Change: | NO |
| Business Entity Name Change: | YES | Old Business Entity Name: | MORGAN KEEGAN & INC |
| New DBA/Trade Name: | YES | New DBA/Trade Name: | WUNDERLICH SECURITITES |
| Amend DBA/Trade Name: | NO | Old DBA/Trade Name: | |
| Add/Delete Producers, Members, Owners, Partners, Officers and/or Directors: | NO |
| | |
| Title Business Entities Only |
| 1. Is any member, producer, owner, share holder, manager, partner, officer or director currently engaged in deriving income from or affiliated with (other than as a customer) any business or profession other than insurance? (i.e. banking, auto dealer, mortgage company) | YES |
| 2. Has any member, producer, owner, share holder, manager, partner, officer or director currently engaged in deriving income from or affiliated with (other than as a customer) any business or profession other than insurance since the filing of the previous CN-65 or the original application? | YES |
| 3. If the answer to questions #1 or #2 is yes, identify the business or profession and the nature of person's involvement | 1. I AM LICENSED TO PRACTICE LAW BY THE SUPREME COURT OF TENNESSEE. MY SOLE EMPLOYMENT IS THROUGH AND WITH WUNDERLICH SECURITIES, INC. I AM CURRENTLY EMPLOYED WITH WUNDERLICH SECURITIES, INC. AS GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER AND HAVE BEEN SO EMPLOYED SINCE AUGUST 3, 2015. I ALSO HAVE VARIOUS SECURITIES REGISTRATIONS INCLUDING SERIES 4,7,8,14 AND 24.
2. I AM LICENSED TO PRACTICE LAW BY THE SUPREME COURT OF TENNESSEE. MY SOLE EMPLOYMENT IS THROUGH AND WITH WUNDERLICH SECURITIES, INC. I AM CURRENTLY EMPLOYED WITH WUNDERLICH SECURITIES, INC. AS GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER AND HAVE BEEN SO EMPLOYED SINCE AUGUST 3, 2015. I ALSO HAVE SECURITIES REGISTRATIONS INCLUDING SERIES 4,7,8,14 AND 24.
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