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Investment Adviser Firm Summary

PFG INVESTMENTS, LLC (CRD# 116537 / SEC# 801-77166)
Alternate Names: CORNELIUS ASSET MANAGEMENT , PFG INVESTMENTS, LLC , VANDERBILT ADVISORY SERVICES

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/23/2012
California Terminated 11/05/2012
Connecticut Terminated 11/27/2012
Florida Terminated 10/31/2012
Georgia Terminated 11/02/2012
Indiana Terminated 10/31/2012
Maryland Terminated 11/15/2012
Massachusetts Terminated 10/31/2012
Minnesota Terminated 10/31/2012
New Jersey Terminated 11/28/2012
New York Terminated 10/31/2012
Ohio Terminated 12/07/2012
Pennsylvania Terminated 11/01/2012
South Carolina Terminated 10/31/2012
Texas Terminated 10/31/2012
Virginia Terminated 10/31/2012
West Virginia Terminated 10/31/2012

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 06/03/2014
Arkansas 12/09/2016
California 10/23/2012
Colorado 06/03/2014
Connecticut 10/23/2012
District of Columbia 02/20/2018
Florida 12/16/2016
Georgia 10/23/2012
Hawaii 07/27/2017
Illinois 07/27/2017
Indiana 10/23/2012
Iowa 05/09/2016
Kansas 07/03/2017
Maine 09/14/2017
Maryland 10/23/2012
Massachusetts 10/23/2012
Michigan 01/03/2017
Minnesota 10/23/2012
New Hampshire 07/03/2017
New Jersey 10/23/2012
New Mexico 07/27/2017
New York 10/23/2012
North Carolina 07/11/2017
Ohio 10/23/2012
Oklahoma 09/20/2018
Oregon 07/03/2017
Pennsylvania 10/23/2012
South Carolina 10/23/2012
South Dakota 03/13/2018
Tennessee 01/29/2018
Texas 10/23/2012
Vermont 07/03/2017
Virginia 10/23/2012
Washington 07/11/2017
West Virginia 10/23/2012
Wisconsin 07/03/2017

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