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Investment Adviser Firm Summary

WINDSOR CAPITAL MANAGEMENT, LLC (CRD# 116593 / SEC# 801-64200)
Alternate Names: WINDSOR CAPITAL MANAGEMENT, LLC , WINDSOR FINANCIAL GROUP, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/28/2005
Arizona Terminated 09/26/2005
Colorado Terminated 09/27/2005
Idaho Terminated 04/29/2005

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 04/28/2005
California 05/19/2008
Colorado 01/25/2006
Florida 01/26/2010
Georgia 02/04/2011
Idaho 07/28/2009
Illinois 11/27/2007
Indiana 01/17/2018
Iowa 11/21/2007
Louisiana 07/10/2015
Michigan 02/13/2013
Minnesota 05/19/2008
Nebraska 08/05/2009
Nevada 01/25/2006
New Hampshire 06/11/2015
Oklahoma 08/16/2010
Oregon 05/26/2015
South Dakota 10/02/2018
Texas 06/07/2010
Utah 01/25/2006
Washington 04/26/2011
Wisconsin 11/20/2007

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