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Investment Adviser Firm Summary

FAMILY WMS, LLC (CRD# 126456 / SEC# 801-61987)
Alternate Names: FAMILY WEALTH MANAGEMENT SERVICES INC. , FAMILY WEALTH MANAGEMENT SERVICES, LLC. , FAMILY WMS, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/18/2003

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
Arkansas 04/21/2003
Florida 04/18/2003
Georgia 04/18/2003
Minnesota 02/10/2011
Mississippi 02/10/2011
New Hampshire 01/15/2010
New York 06/23/2003
South Carolina 02/10/2011
Tennessee 04/18/2003
Texas 03/31/2006

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