at


Investment Adviser Firm Summary

FULTON BREAKEFIELD BROENNIMAN,LLC (CRD# 108967 / SEC# 801-57836)
Alternate Names: FBB CAPITAL PARTNERS , FULTON BREAKEFIELD BROENNIMAN,LLC , WEALTHTRUST , WEALTHTRUST·FBB

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 08/04/2000

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 03/21/2014
California 03/26/2010
Colorado 07/22/2010
Delaware 01/18/2005
District of Columbia 09/15/2000
Florida 08/08/2000
Georgia 09/16/2015
Illinois 12/10/2014
Louisiana 07/22/2010
Maine 03/31/2015
Maryland 05/05/1991
Massachusetts 03/31/2015
Missouri 03/31/2015
New Jersey 09/28/2015
New Mexico 03/26/2010
New York 11/06/2003
North Carolina 04/14/2005
Ohio 03/18/2013
Oregon 09/16/2015
Pennsylvania 07/31/2000
South Carolina 03/26/2010
Tennessee 03/21/2014
Texas 08/02/2000
Vermont 06/10/2015
Virginia 08/28/1996
Washington 03/21/2014
West Virginia 12/17/2015

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