at


Investment Adviser Firm Summary

THE INVESTMENT ADVISOR ALLIANCE LLC (CRD# 125185 / SEC# 8-65773, 801-110633)
Alternate Names: AMERICAN TAX & FINANCIAL PLANNERS , CHARLESTON WEALTH ADVISORS , CL PRICE FINANCIAL , CORNERSTONE WEALTH & TAX ADVISORY GROUP , E.C. JACKSON , GREEN INVESTMENT COUNSEL , GWN WEALTH , IAA , KEELER & CO., LLC , KEELER ADVISORS , KOHN FINANCIAL PLANNING , L WEINMAN, ADVISOR , RETIREMENT PLANNING SERVICES , SYNTHIUM CAPITAL , TELLER SPRINGS WEALTH MANAGEMENT , THE INVESTMENT ADVISOR ALLIANCE LLC , VERITE ASSET MANAGEMENT , VERITE WEALTH MANAGEMENT

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 05/24/2017
Arizona Terminated 06/07/2017
California Terminated 07/07/2017
Colorado Terminated 06/09/2017
Connecticut Terminated 06/15/2017
Florida Terminated 06/07/2017
Massachusetts Terminated 11/29/2006
Nevada Terminated 07/14/2017
New Jersey Approved 02/11/2005
New York Terminated 06/07/2017
Rhode Island Terminated 11/07/2006
South Carolina Terminated 06/07/2017

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 05/24/2017
California 05/24/2017
Colorado 05/24/2017
Connecticut 05/24/2017
Florida 05/24/2017
Georgia 05/24/2017
Indiana 05/24/2017
Iowa 05/24/2017
Louisiana 05/24/2017
Maryland 05/24/2017
Nevada 05/24/2017
New Hampshire 07/12/2017
New Jersey 05/30/2017
New Mexico 02/02/2018
New York 05/24/2017
North Carolina 05/24/2017
Pennsylvania 05/24/2017
South Carolina 05/24/2017
Texas 05/24/2017
Vermont 02/26/2018
Virginia 05/24/2017

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