ACES - ADVISOR COMMITMENT TO 401(K) EDUCATION AND SERVICE
Live / Registered — Registered and renewed (as of 30 Aug 2020)
What this means for you
Registered since 23 Nov 2010. The owner can stop confusingly similar uses in the classes it covers; it stays on the register as long as the owner keeps up the maintenance filings (next due by 23 Nov 2020).
Record
- Serial number
- 85010721
- Registration number
- 3879663
- Mark type
- Stylized text
- Filed
- 09 Apr 2010
- Published for opposition
- 07 Sept 2010
- Registered
- 23 Nov 2010
- Next maintenance due
- 23 Nov 2020
- Attorney of record
- Jordan Arnot Leahey
Goods and services
- Class 036 — Insurance and financial services: Financial services of brokers selling mutual funds to employer-sponsored 401(k) plans and other defined contribution plans subject to ERISA (Employee Retirement Income Security Act of 1974), namely, providing investment-related support and information to the plan sponsor and the plan's fiduciaries with respect to their duty to select, monitor and replace funds in the plan's investment menu, providing financial counseling, financial retirement planning services and asset allocation assistance to plan participants, and partnering with the plan sponsor to promote, facilitate and encourage retirement savings to plan participants
- Class 041 — Education and entertainment services: [ Educational services provided to 401(k) plan sponsors and plan fiduciaries, namely, training with respect to their investment-related and disclosure-related duties under ERISA, and providing educational services, namely, seminars in the field of investments and retirement planning ]
Owner
- FRANKLIN DISTRIBUTORS, LLC, BALTIMORE, MD, US
- Legg Mason Investor Services, LLC, Baltimore, MD, US
- Legg Mason Investor Services, LLC, Baltimore, MD, US
- Legg Mason Investor Services, LLC, Baltimore, MD, US
Prosecution history
- 15 Mar 2022 — TEAS CHANGE OF CORRESPONDENCE RECEIVED
- 15 Mar 2022 — ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED
- 15 Mar 2022 — TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED
- 21 Jan 2022 — TEAS CHANGE OF CORRESPONDENCE RECEIVED
- 21 Jan 2022 — ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED
- 21 Jan 2022 — TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED
- 08 Dec 2021 — AUTOMATIC UPDATE OF ASSIGNMENT OF OWNERSHIP
- 30 Aug 2020 — NOTICE OF ACCEPTANCE OF SEC. 8 & 9 - E-MAILED
- 30 Aug 2020 — REGISTERED AND RENEWED (FIRST RENEWAL - 10 YRS)
- 30 Aug 2020 — REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED
- 30 Aug 2020 — CASE ASSIGNED TO POST REGISTRATION PARALEGAL
- 21 Jul 2020 — TEAS SECTION 8 & 9 RECEIVED
- 23 Nov 2019 — COURTESY REMINDER - SEC. 8 (10-YR)/SEC. 9 E-MAILED
- 20 Dec 2016 — NOTICE OF ACCEPTANCE OF SEC. 8 & 15 - E-MAILED
- 20 Dec 2016 — REGISTERED - PARTIAL SEC. 8 (6-YR) ACCEPTED & SEC. 15 ACK.