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Investment Adviser Firm Summary

WBI INVESTMENTS INC. (CRD# 106336 / SEC# 801-22873)
Alternate Names: WBI INVESTMENTS , WBI INVESTMENTS INC. , WBI INVESTMENTS, INC. , WEALTH BUILDERS INC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 03/12/1985

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 01/14/2008
Alaska 07/14/2015
Arizona 03/23/2006
Arkansas 10/07/2011
California 03/23/2004
Colorado 06/19/2009
Connecticut 10/07/2008
Delaware 04/26/2013
District of Columbia 07/14/2015
Florida 04/18/1994
Georgia 03/07/2007
Hawaii 09/03/2010
Idaho 08/26/2014
Illinois 04/07/2011
Indiana 10/23/2009
Iowa 09/13/2010
Kansas 04/27/2011
Kentucky 10/22/2007
Louisiana 10/01/2003
Maine 05/14/2013
Maryland 01/03/2009
Massachusetts 06/19/2006
Michigan 01/14/2008
Minnesota 02/25/2010
Mississippi 03/27/2013
Missouri 01/07/2010
Montana 12/20/2013
Nebraska 10/23/2009
Nevada 05/13/2011
New Hampshire 05/17/1995
New Jersey 02/27/1992
New Mexico 10/07/2011
New York 01/06/2003
North Carolina 01/06/2003
North Dakota 07/14/2015
Ohio 12/16/2005
Oklahoma 08/23/2010
Oregon 01/26/2011
Pennsylvania 04/30/2002
Rhode Island 09/24/2012
South Carolina 08/25/2006
South Dakota 09/15/2010
Tennessee 05/23/2011
Texas 09/19/2000
Utah 08/30/2012
Vermont 06/09/2014
Virginia 06/28/2004
Washington 03/28/2011
West Virginia 06/10/2011
Wisconsin 11/16/2010
Wyoming 03/29/2018

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