at


Investment Adviser Firm Summary

BEAM ASSET MANAGEMENT, LLC (CRD# 109867 / SEC# 801-60334)
Alternate Names: ADVOCACY FINANCIAL, LLC , BEAM ASSET MANAGEMENT , BEAM ASSET MANAGEMENT, LLC , CHARLES BRYAN FINANCIAL GROUP , DAVIS FINANCIAL , FINANCIAL AND INVESTMENT & MANAGEMENT ADVISORS, INC. , FINANCIAL AND INVESTMENT MANAGEMENT ADVISORS, INC. , FINANCIAL DESIGN GROUP , FINESTPLAN LC , JDS WEALTH STRATEGIES , JOSEPH PIRETTI & ASSOCIATES , JUDD WEALTH MANAGEMENT , OBAN WEALTH MANAGEMENT LLC , PREMIER WEALTH MANAGEMENT GROUP , ROGERS AND ROGERS , ROMANO INSURANCE & INVESTMENT GROUP , SOMMER INVESTMENTS, LLC , SUMMIT INVESTMENT GROUP LLC , THRESHOLD, INC. , TRUE COMPASS FINANCIAL, LLC , UNIVERSAL FINANCIAL GROUP, INC , WHIDDON WEALTH MANAGEMENT, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 06/22/2001

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 07/19/2007
Arkansas 03/02/2010
California 06/19/2012
Colorado 06/19/2012
Delaware 10/31/2011
Florida 02/10/2003
Georgia 06/09/2011
Illinois 04/07/2015
Louisiana 06/22/2001
Maryland 01/04/2018
Massachusetts 02/04/2016
Mississippi 03/22/2006
Missouri 03/06/2015
New Hampshire 06/09/2017
New Jersey 07/12/2011
New York 06/09/2011
North Carolina 01/04/2018
Oklahoma 11/20/2012
Pennsylvania 03/10/2015
Tennessee 03/08/2004
Texas 05/09/2002
Utah 11/03/2015
Virginia 06/19/2012
Washington 03/05/2013

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