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Investment Adviser Firm Summary

DELTA ADVISORY GROUP, INC. (CRD# 105966 / SEC# 801-46613)
Alternate Names: DELTA ADVISORY GROUP, INC. , DELTA ADVISORY SERVICES INC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/26/1994
Florida Approved 09/10/2018
Georgia Approved 06/20/2018
South Carolina Approved 09/21/2018
Texas Approved 06/13/2018

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
California 08/17/1994
Florida 08/18/1994
Georgia 07/25/1994
Illinois 08/04/1994
Kansas 09/21/1994
Michigan 01/05/1998
Minnesota 11/17/1997
New York 08/30/1994
North Carolina 02/07/2001
Ohio 03/06/2000
Oregon 05/03/1996
Pennsylvania 11/13/1996
South Carolina 02/07/2001
Texas 09/15/1994
Wisconsin 06/14/1996

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