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Investment Adviser Firm Summary

THE STRATEGIC FINANCIAL ALLIANCE, INC. (CRD# 126514 / SEC# 8-65885, 801-62226)
Alternate Names: ADAMS FINANCIAL SERVICES , BENNCO ADVISORS , BOWERS PRIVATE WEALTH MANAGEMENT , CAPITAL INSIGHT GROUP , CARLYLE WEALTH MANAGEMENT , CARNEGIE WEALTH MANAGEMENT , CAROLINA WEALTH ADVISORS , COMPASS WEALTH MANAGEMENT , CORNERSTONE WEALTH MANAGEMENT , CORRIGAN FINANCIAL , DERAND CAPITAL MANAGEMENT GROUP , DUNN FINANCIAL SERVICES , ENCORE FINANCIAL CONSULTING , FINANCIAL PLANNING ADVISORY SERVICE, INC. , FRANK REYNOLDS AND COMPANY , GEORGIA WEALTH PARTNERS , GOLDEN SWORD ALLIANCE , HUTCHINSON FAMILY OFFICES , KAP FINANCIAL SOLUTIONS , KEEN & POCOCK , KEEN ADVISORY GROUP , KEOWEE FINANCIAL GROUP, INC. , KJM WEALTH MANAGEMENT , KNIGHT ASSET MANAGEMENT , KOEHN FINANCIAL GROUP , LARKSPUR FINANCIAL ADVISORS , MONEY CONCEPTS, INC. , NAKAMURA STRATEGIC FINANCIAL PLANNING , O'NEIL FINANCIAL ADVISORS , PREHMUS FINANCIAL PARTNERS , PRIVATE CLIENT ADVISORY , RAUSCH FINANCIAL SERVICES , RELIANCE ADVISORY SERVICES, INC. , SHERPA FINANCIAL ADVISORS , SNYDER FINANCIAL GROUP , STARR CAPITAL , THE CAROLINA & RAPPAHANNOCK WEALTH ADVISORS, INC. , THE STRATEGIC FINANCIAL ALLIANCE , THE STRATEGIC FINANCIAL ALLIANCE, INC. , THE STRATEGIC FINANCIAL ALLIARCE , TOM BECK COMPANY , WELLSPRING ADVISORY SERVICES, LLC

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 07/18/2003

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
Alabama 07/31/2003
Alaska 01/03/2005
Arizona 07/18/2003
Arkansas 10/06/2010
California 07/18/2003
Colorado 07/18/2003
Connecticut 03/09/2006
Delaware 08/08/2003
District of Columbia 07/18/2003
Florida 07/18/2003
Georgia 07/18/2003
Hawaii 07/18/2003
Idaho 07/18/2003
Illinois 07/24/2003
Indiana 07/18/2003
Iowa 10/07/2010
Kansas 10/06/2010
Kentucky 07/18/2003
Louisiana 03/09/2006
Maine 10/06/2010
Maryland 07/18/2003
Massachusetts 12/23/2009
Michigan 07/18/2003
Minnesota 10/06/2010
Mississippi 01/05/2007
Missouri 07/18/2003
Montana 10/06/2010
Nebraska 01/26/2007
Nevada 07/18/2003
New Hampshire 10/06/2010
New Jersey 07/18/2003
New Mexico 07/18/2003
New York 07/18/2003
North Carolina 07/18/2003
North Dakota 10/06/2010
Ohio 07/18/2003
Oklahoma 10/06/2010
Oregon 07/18/2003
Pennsylvania 07/18/2003
Rhode Island 10/06/2010
South Carolina 07/18/2003
South Dakota 10/07/2010
Tennessee 07/18/2003
Texas 07/18/2003
Utah 11/13/2003
Vermont 03/09/2006
Virginia 07/18/2003
Washington 07/18/2003
West Virginia 03/09/2006
Wisconsin 07/18/2003

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