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Investment Adviser Firm Summary

USA FINANCIAL SECURITIES CORPORATION (CRD# 103857 / SEC# 8-52342, 801-68276)
Alternate Names: USA FINANCIAL , USA FINANCIAL ASSET MANAGEMENT , USA FINANCIAL SECURITIES CORPORATION

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 08/24/2007
Arizona Terminated 08/30/2007
Arkansas Terminated 09/12/2007
California Terminated 08/31/2007
Colorado Terminated 09/28/2007
Connecticut Terminated 08/30/2007
Delaware Terminated 09/06/2007
Florida Terminated 10/11/2007
Georgia Terminated 08/30/2007
Illinois Terminated 08/24/2007
Indiana Terminated 08/30/2007
Iowa Terminated 08/30/2007
Kansas Terminated 08/30/2007
Kentucky Terminated 08/31/2007
Louisiana Terminated 09/06/2007
Massachusetts Terminated 09/05/2007
Nevada Terminated 09/19/2007
New Mexico Terminated 08/30/2007
North Carolina Terminated 08/30/2007
Ohio Terminated 08/30/2007
Oklahoma Terminated 08/24/2007
Oregon Terminated 08/24/2007
South Carolina Terminated 08/30/2007
Tennessee Terminated 09/29/2007
Texas Terminated 08/30/2007
Utah Terminated 08/30/2007
Virginia Terminated 08/30/2007
Wisconsin Terminated 08/30/2007

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 08/24/2007
Alaska 08/24/2007
Arizona 08/24/2007
Arkansas 08/24/2007
California 03/22/2001
Colorado 08/24/2007
Connecticut 08/24/2007
Delaware 08/24/2007
District of Columbia 08/24/2007
Florida 08/24/2007
Georgia 08/24/2007
Hawaii 08/24/2007
Idaho 08/24/2007
Illinois 08/24/2007
Indiana 08/24/2007
Iowa 08/27/2007
Kansas 08/24/2007
Kentucky 08/24/2007
Louisiana 08/24/2007
Maine 08/24/2007
Maryland 08/24/2007
Massachusetts 08/24/2007
Michigan 08/24/2007
Minnesota 08/24/2007
Mississippi 08/24/2007
Missouri 08/24/2007
Montana 08/24/2007
Nebraska 08/24/2007
Nevada 08/24/2007
New Hampshire 08/24/2007
New Jersey 08/29/2007
New Mexico 08/24/2007
New York 08/24/2007
North Carolina 08/24/2007
North Dakota 08/24/2007
Ohio 08/24/2007
Oklahoma 08/24/2007
Oregon 08/24/2007
Pennsylvania 08/24/2007
Rhode Island 08/24/2007
South Carolina 08/24/2007
South Dakota 08/29/2007
Tennessee 08/24/2007
Texas 08/24/2007
Utah 08/24/2007
Vermont 08/24/2007
Virgin Islands 08/24/2007
Virginia 08/24/2007
Washington 08/24/2007
West Virginia 08/24/2007
Wisconsin 08/24/2007

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser