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Investment Adviser Firm Summary

CETERA INVESTMENT ADVISERS LLC (CRD# 105644 / SEC# 801-20406)
Alternate Names: CETERA INVESTMENT ADVISERS LLC , GENWORTH FINANCIAL ADVISERS CORPORATION , TERRA FINANCIAL PLANNING GROUP LTD

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/13/1984

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 06/24/1998
Alaska 03/19/1999
Arizona 01/01/1999
Arkansas 03/11/1999
California 01/12/1999
Colorado 03/15/1999
Connecticut 03/11/1999
Delaware 03/31/2003
District of Columbia 04/23/1999
Florida 05/19/1998
Georgia 03/03/1998
Hawaii 05/18/1998
Idaho 03/12/1999
Illinois 02/16/1984
Indiana 02/13/2001
Iowa 12/29/1999
Kansas 03/02/1998
Kentucky 04/15/1998
Louisiana 10/17/2001
Maine 07/18/2001
Maryland 02/24/1998
Massachusetts 03/04/1998
Michigan 04/17/1998
Minnesota 04/30/1998
Mississippi 03/31/1998
Missouri 11/07/1996
Montana 03/18/1999
Nebraska 03/22/1999
Nevada 03/12/1999
New Hampshire 01/01/2001
New Jersey 03/04/1998
New Mexico 03/16/1999
New York 10/15/1998
North Carolina 02/06/2001
North Dakota 05/22/2000
Ohio 02/10/2000
Oklahoma 03/29/2000
Oregon 06/26/2002
Pennsylvania 02/24/1998
Puerto Rico 03/31/2003
Rhode Island 01/01/2000
South Carolina 02/06/2001
South Dakota 01/01/1997
Tennessee 05/20/1998
Texas 01/01/1999
Utah 03/11/1999
Vermont 03/24/1999
Virgin Islands 06/22/2007
Virginia 03/23/1999
Washington 03/15/1999
West Virginia 03/11/1999
Wisconsin 05/01/1998
Wyoming 08/07/2017

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