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Investment Adviser Firm Summary

STURNIOLO JOSEPH S & ASSOCIATES INC (CRD# 107609)
Alternate Names: CHAOS CANCELLED , CRY OF THE HEART , DONOR MOTIVATION PROGRAM , INDEPENDENT INSURANCE AGENT WITH VARIOUS INSURANCE CARRIERS FOR FIXED ONLY , KARDIA FAMILY WEALTH COUNSELING , MORTGAGE DIRECT LLC. , ROAR , STEWARDSHIP MINISTRIES , STRATEGIC CONSULTING , STURNIOLO JOSEPH S & ASSOCIATES INC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Terminated 06/21/2012
Colorado Approved 06/14/2012

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.


Not Currently Notice Filed


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