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Investment Adviser Firm Summary

BBVA WEALTH SOLUTIONS INC. (CRD# 110476 / SEC# 801-56131)
Alternate Names: ALFRED B. BRADY III , BBVA WEALTH SOLUTIONS INC. , CLAYTON COOKE , DAVID BUSBEE , DEBORAH MCCULLY STAVIS , EDWIN TREY MAXWELL , FRANK POHAR , GAIL VAN NEST , GERRALD GIBLIN , MARY K. MARGOLIS , MICHAEL SANDEEN , RICHARD SAETTONE , ROY T. MANICOM , STAVIS MARGOLIS ADVISORY SERVICES INC , SURESH RAGHAVAN , THOMAS E. SAMUELS JR.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/07/1999

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 07/13/2007
Alaska 03/30/2012
Arizona 07/13/2007
Arkansas 01/26/2016
California 07/13/2007
Colorado 07/13/2007
Florida 07/16/2007
Georgia 07/13/2007
Hawaii 03/19/2015
Illinois 07/25/2007
Indiana 07/13/2007
Iowa 02/21/2014
Kansas 03/30/2012
Kentucky 04/12/2018
Louisiana 02/21/2014
Maryland 10/24/2017
Massachusetts 03/31/2017
Michigan 07/13/2007
Minnesota 10/24/2017
Mississippi 04/10/2018
Montana 09/11/2017
Nebraska 06/04/2018
Nevada 07/13/2007
New Jersey 07/26/2007
New Mexico 12/16/2009
New York 07/13/2007
North Carolina 07/13/2007
Ohio 07/13/2007
Oklahoma 12/19/2017
Oregon 03/10/2016
Pennsylvania 07/13/2007
South Carolina 07/13/2007
South Dakota 03/30/2012
Tennessee 07/16/2007
Texas 01/31/2001
Utah 02/02/2018
Virginia 07/13/2007
Washington 07/13/2007
Wisconsin 07/13/2007

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