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Investment Adviser Firm Summary

HBK SORCE ADVISORY LLC (CRD# 112139 / SEC# 801-60424)
Alternate Names: HBK ADVISORY SERVICES LLC , HBK SORCE ADVISORY LLC , HBK SORCE FINANCIAL LLC , HBKS WEALTH ADVISORS , PRESQUE ISLE CAPITAL MANAGEMENT

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/19/2001
Ohio Terminated 11/28/2000
Pennsylvania Terminated 10/29/2001

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
Arizona 12/12/2007
California 12/03/2003
Colorado 02/05/2004
Delaware 03/31/2009
Florida 02/01/2001
Georgia 05/07/2004
Illinois 12/20/2007
Indiana 12/05/2013
Kentucky 07/20/2012
Louisiana 06/13/2011
Maine 11/05/2010
Maryland 10/18/2004
Massachusetts 07/19/2001
Michigan 03/17/2008
Nebraska 03/09/2011
New Hampshire 04/04/2006
New Jersey 03/10/2005
New Mexico 11/09/2012
New York 01/14/2003
North Carolina 02/05/2004
Ohio 11/28/2000
Oregon 03/09/2011
Pennsylvania 03/23/2001
South Carolina 09/15/2006
Tennessee 05/01/2012
Texas 08/07/2001
Vermont 04/04/2006
Virginia 07/19/2001
Washington 03/24/2009
Wyoming 11/09/2017

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