at


Investment Adviser Firm Summary

FINANCIAL CONCEPTS UNLIMITED, INC. (CRD# 118641 / SEC# 801-61345)
Alternate Names: FINANCIAL CONCEPTS UNLIMITED, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/29/2002
New York Cancelled 09/26/2005
North Carolina Terminated 10/03/2005
South Carolina Terminated 09/26/2005
Virginia Terminated 12/31/2005

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
California 10/24/2017
Connecticut 01/28/2013
District of Columbia 01/26/2010
Florida 03/01/2012
Georgia 02/29/2012
Illinois 10/09/2014
Louisiana 10/24/2017
Maryland 12/09/2005
Massachusetts 02/29/2012
Minnesota 02/29/2012
Missouri 10/24/2017
New Hampshire 02/03/2015
New Jersey 02/08/2010
New York 10/17/2005
North Carolina 02/29/2012
Pennsylvania 02/29/2012
Texas 02/25/2009
Virginia 12/09/2005
West Virginia 02/29/2012

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