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Investment Adviser Firm Summary

H.D. VEST ADVISORY SERVICES, INC (CRD# 104556 / SEC# 801-29892)
Alternate Names: H.D. VEST ADVISORY SERVICES, INC , HD VEST ADVISORY SERVICES

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/20/1987

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 05/10/1991
Alaska 03/06/1991
Arizona 08/29/1994
Arkansas 05/03/1989
California 04/18/1989
Colorado 01/01/1999
Connecticut 11/05/1997
Delaware 04/17/2003
District of Columbia 06/30/1995
Florida 04/17/1989
Georgia 04/10/1989
Hawaii 12/12/1997
Idaho 10/15/1992
Illinois 02/22/1989
Indiana 11/08/2000
Iowa 01/01/1999
Kansas 05/16/1989
Kentucky 01/27/1989
Louisiana 10/08/2001
Maine 09/30/1992
Maryland 10/22/1991
Massachusetts 04/14/1994
Michigan 12/22/1998
Minnesota 09/01/1989
Mississippi 02/20/1998
Missouri 03/20/1989
Montana 01/01/1998
Nebraska 07/07/1993
Nevada 12/07/1990
New Hampshire 06/24/1992
New Jersey 05/31/1989
New Mexico 08/03/1990
New York 03/13/1989
North Carolina 11/01/2000
North Dakota 04/10/1992
Ohio 04/20/1999
Oklahoma 01/01/1998
Oregon 11/02/1993
Pennsylvania 05/09/1989
Puerto Rico 01/12/1994
Rhode Island 11/22/1993
South Carolina 11/01/2000
South Dakota 04/07/1989
Tennessee 04/03/1990
Texas 10/31/1988
Utah 12/21/1990
Vermont 12/06/1994
Virginia 01/27/1998
Washington 03/27/1990
West Virginia 08/06/1993
Wisconsin 08/22/1990
Wyoming 08/28/2017

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