Regulatory Information

CU Capital Market Solutions receives many inquiries for background information on the firm. and its registered representatives. We recognize your interest in obtaining this information in order to comply with regulations regarding due diligence investigations.

CU Capital Market Solutions is an SEC registered investment advisor. 

Please be advised that this information is intended to respond to the information requested most frequently by our clients and does not represent all information that can be obtained from the Public Disclosure Program.

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