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Investment Adviser Firm Summary

GODFREY FINANCIAL ASSOCIATES, INC. (CRD# 126189 / SEC# 801-78531)
Alternate Names: GODFREY FINANCIAL ASSOCIATES, INC. , GODFREY, KATHLEEN LOUISE , KATHLEEN GODFREY FINANCIAL PLANNING , KATHLENN GODFREY FINANCIAL PLANNING

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/20/2013
New York Terminated 11/06/2013

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
Louisiana 10/25/2016
Massachusetts 10/28/2015
New Hampshire 09/26/2017
New York 09/20/2013
Texas 02/20/2016

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