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Investment Adviser Firm Summary

STERNECK CAPITAL MANAGEMENT LLC (CRD# 111463 / SEC# 801-45256)
Alternate Names: STERNECK CAPITAL MANAGEMENT LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 12/20/1993

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 03/05/2013
Arizona 03/30/2016
California 12/09/2008
Colorado 03/30/2016
Connecticut 03/30/2016
Florida 12/10/2008
Georgia 12/09/2008
Illinois 10/19/2009
Indiana 01/11/2011
Iowa 03/05/2010
Kansas 05/21/2004
Michigan 03/30/2016
Minnesota 02/04/2011
Missouri 01/16/2004
Nebraska 03/04/2010
Nevada 03/31/2017
New Jersey 12/16/2008
New York 01/16/2004
North Carolina 03/30/2016
Ohio 04/01/2013
Oklahoma 03/30/2018
Tennessee 08/24/2010
Texas 01/12/2011
Washington 03/30/2016
Wisconsin 10/24/2012

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