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Investment Adviser Firm Summary

STOKER OSTLER WEALTH ADVISORS, INC. (CRD# 111320 / SEC# 801-54265)
Alternate Names: PRIVATE WEALTH INC. , PRIVATE WEALTH MANAGEMENT INC. , STOKER OSTLER , STOKER OSTLER MEMBER HARRIS WEALTH ADVISORS , STOKER OSTLER WEALTH ADVISORS , STOKER OSTLER WEALTH ADVISORS, INC. , STOKER OSTLER, A PART OF BMO FINANCIAL GROUP

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/14/1997

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 05/19/1997
California 11/01/2004
Colorado 04/04/2006
Florida 03/03/2011
Georgia 03/31/2014
Hawaii 10/13/2017
Idaho 07/02/2001
Illinois 08/10/1998
Massachusetts 11/05/2010
Michigan 06/22/2012
Montana 10/22/2008
Oklahoma 10/13/2017
Oregon 02/02/2012
Tennessee 10/13/2017
Texas 11/01/2004
Utah 07/03/2003
Virginia 11/05/2010
Washington 04/04/2006
Wyoming 10/13/2017

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