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Investment Adviser Firm Summary

SYM FINANCIAL CORPORATION (CRD# 107517 / SEC# 801-23944)
Alternate Names: SYM FINANCIAL ADVISORS , SYM FINANCIAL CORP. , SYM FINANCIAL CORP. DBA SYM FINANCIAL ADVISORS , SYM FINANCIAL CORPORATION

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/15/1985

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 03/06/2013
Arizona 03/17/2004
California 03/17/2004
Colorado 03/24/2011
Florida 03/25/2002
Georgia 03/30/2016
Illinois 01/29/2001
Indiana 01/30/2001
Kentucky 01/30/2001
Louisiana 01/27/2003
Maryland 03/06/2013
Michigan 01/30/2001
New Jersey 03/12/2015
New York 03/22/2012
North Carolina 03/05/2015
Ohio 01/30/2001
Oregon 03/30/2016
Pennsylvania 03/06/2013
South Carolina 03/24/2011
Tennessee 03/18/2008
Texas 03/25/2002
Washington 03/05/2015

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