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Investment Adviser Firm Summary

MWA FINANCIAL SERVICES, INC. (CRD# 112630 / SEC# 8-53255, 801-107091)
Alternate Names: MWA FINANCIAL SERVICES INC. , MWA FINANCIAL SERVICES, INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/04/2016
Alabama Terminated 04/11/2016
Arizona Terminated 01/27/2016
California Terminated 01/03/2010
Colorado Terminated 01/28/2016
Florida Terminated 01/26/2016
Georgia Terminated 02/12/2016
Idaho Terminated 12/01/2011
Illinois Terminated 01/20/2016
Indiana Terminated 01/29/2016
Iowa Terminated 01/28/2016
Kansas Terminated 01/27/2016
Louisiana Terminated 12/18/2013
Maine Terminated 02/02/2016
Maryland Terminated 12/31/2015
Massachusetts Terminated 01/27/2016
Michigan Terminated 02/02/2016
Minnesota Terminated 01/27/2016
Mississippi Terminated 12/13/2013
Nebraska Terminated 01/20/2016
New Hampshire Terminated 04/13/2016
North Carolina Terminated 01/27/2016
Ohio Terminated 01/28/2016
Oklahoma Terminated 12/12/2013
South Dakota Terminated 01/20/2016
Tennessee Terminated 03/29/2016
Texas Terminated 01/27/2016
Virginia Terminated 01/27/2016
Wisconsin Terminated 01/21/2016

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 01/20/2016
Arizona 01/20/2016
California 02/15/2016
Colorado 01/20/2016
Florida 01/20/2016
Georgia 01/20/2016
Illinois 01/20/2016
Indiana 01/20/2016
Iowa 01/20/2016
Kansas 01/20/2016
Maine 01/20/2016
Michigan 01/20/2016
Minnesota 01/20/2016
New Hampshire 01/20/2016
North Carolina 01/20/2016
North Dakota 01/26/2017
Ohio 01/20/2016
Tennessee 06/18/2018
Texas 01/20/2016
Virginia 01/20/2016
Washington 01/12/2017
Wisconsin 01/20/2016

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