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Investment Adviser Firm Summary

CARROLL FINANCIAL ASSOCIATES INC (CRD# 105427 / SEC# 801-15517)
Alternate Names: CARROLL FINANCIAL ASSOCIATES INC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/19/1980

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 03/26/2013
Arizona 01/05/2016
Arkansas 03/22/2018
California 02/02/2006
Colorado 01/05/2017
Florida 02/03/2006
Georgia 08/12/1998
Illinois 01/14/2008
Indiana 03/22/2018
Louisiana 03/26/2013
Maryland 01/09/2008
Massachusetts 01/05/2017
Michigan 01/14/2010
Minnesota 10/17/2011
Missouri 01/21/2015
New Hampshire 03/22/2018
New Jersey 01/20/2016
New York 03/26/2013
North Carolina 01/18/2001
Ohio 01/09/2008
Oregon 01/03/2011
Pennsylvania 02/02/2006
South Carolina 01/14/1998
Tennessee 01/03/2011
Texas 02/02/2006
Virginia 01/09/2008
Washington 01/05/2016
Wisconsin 01/15/2014

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