at


Investment Adviser Firm Summary

SPC FINANCIAL INC (CRD# 104618 / SEC# 801-14191)
Alternate Names: SPC FINANCIAL INC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 11/30/1978
Maryland Terminated 12/12/2017

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
Arizona 04/06/2018
California 03/29/2006
Colorado 04/06/2018
Connecticut 04/29/2008
Delaware 04/03/2006
District of Columbia 02/16/1994
Florida 03/30/2006
Georgia 04/29/2008
Illinois 06/17/2008
Louisiana 03/29/2017
Maryland 02/21/1991
Massachusetts 04/29/2008
New Jersey 05/12/2008
New Mexico 04/29/2008
New York 04/29/2008
North Carolina 03/29/2006
Ohio 06/30/2016
Pennsylvania 03/29/2006
South Carolina 03/29/2006
Texas 04/29/2008
Virginia 01/26/1994
Washington 04/06/2018
West Virginia 03/29/2006

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