at


Investment Adviser Firm Summary

FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC (CRD# 106607 / SEC# 801-37185)
Alternate Names: FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC , FIDUCIARY FINANCIAL SERVICES WEALTH MANAGEMENT

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 08/19/1990

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
Arizona 09/27/2018
Arkansas 09/27/2018
California 11/25/1996
Colorado 09/27/2018
Connecticut 09/27/2018
Florida 09/27/2018
Georgia 09/27/2018
Illinois 09/28/2018
Louisiana 03/29/2005
Maryland 09/28/2015
Massachusetts 09/27/2018
Missouri 09/27/2018
Montana 09/27/2018
Nevada 09/27/2018
New Jersey 10/24/2018
New Mexico 09/27/2018
New York 09/27/2018
Oklahoma 09/27/2018
Oregon 09/27/2018
Pennsylvania 09/27/2018
South Carolina 09/27/2018
Tennessee 09/27/2018
Texas 08/17/1990
Utah 09/27/2018
Virginia 07/01/2014
Washington 09/27/2018

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