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Investment Adviser Firm Summary

BRADFORD FINANCIAL CENTER (CRD# 110953 / SEC# 801-68117)
Alternate Names: BRADFORD FINANCIAL CENTER

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/23/2007
Iowa Terminated 09/13/2007

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 03/28/2008
Arkansas 03/28/2008
California 03/28/2008
Colorado 03/17/2017
Florida 03/31/2010
Illinois 04/17/2008
Indiana 03/17/2017
Iowa 07/23/2007
Kansas 03/30/2010
Kentucky 03/17/2017
Michigan 03/17/2017
Minnesota 03/28/2008
Mississippi 03/17/2017
Missouri 03/28/2008
Montana 03/30/2010
Nebraska 03/30/2010
Nevada 03/30/2010
New Jersey 04/20/2010
North Carolina 06/08/2017
Ohio 03/30/2010
South Dakota 04/01/2010
Tennessee 09/18/2014
Texas 03/30/2010
Virginia 03/30/2010
Washington 04/01/2016

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