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Investment Adviser Firm Summary

SPECTRUM FINANCIAL INC (CRD# 105618 / SEC# 801-33311)
Alternate Names: SPECTRUM FINANCIAL INC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 12/30/1988

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 11/18/1993
California 08/29/1990
Florida 05/14/1993
Georgia 03/19/1999
Illinois 04/11/1990
Massachusetts 10/06/1996
Michigan 09/23/1997
Missouri 11/04/1996
Nebraska 06/29/2017
New Hampshire 12/03/1996
New York 04/08/1992
North Carolina 03/23/2001
Pennsylvania 10/27/1992
South Carolina 04/07/2004
Tennessee 03/26/1999
Texas 04/02/1992
Virginia 01/01/1989

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