at


Investment Adviser Firm Summary

TCI WEALTH ADVISORS, INC. (CRD# 107373 / SEC# 801-37083)
Alternate Names: AQN INVESTMENT ADVISORS, INC. , SWIFT ROBERT CLARKSON , TCI ASSET MANAGERS, INC. , TCI FINANCIAL PLANNING, INC. , TCI WEALTH ADVISORS, INC. , TCI WEALTH MANAGEMENT, INC. , THE CONSERVATIVE INVESTOR

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 08/30/1990

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 08/31/1994
California 09/21/2000
Colorado 05/23/2007
Connecticut 02/24/2016
Florida 01/31/2006
Georgia 02/24/2016
Idaho 09/07/2018
Illinois 08/13/2008
Indiana 03/30/2016
Kansas 06/06/2017
Maryland 05/07/2013
Massachusetts 07/01/2010
Michigan 05/15/2018
Minnesota 02/24/2016
Nebraska 11/04/2015
Nevada 01/02/2008
New Jersey 03/02/2016
New Mexico 07/09/2004
New York 11/04/2010
North Carolina 02/24/2016
Oregon 07/25/2011
Pennsylvania 05/02/2017
Texas 06/04/2002
Utah 06/27/2012
Virginia 06/27/2012
Washington 01/14/2004
Wisconsin 07/25/2011

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