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Investment Adviser Firm Summary

FRISCH FINANCIAL GROUP, INC. (CRD# 126524 / SEC# 801-62300)
Alternate Names: FRISCH FINANCIAL GROUP, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 08/21/2003
New York Terminated 09/13/2003

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
Arizona 09/28/2011
California 01/04/2013
Connecticut 12/21/2005
Delaware 07/27/2010
District of Columbia 03/30/2015
Florida 01/07/2009
Illinois 07/16/2010
Indiana 07/16/2010
Iowa 03/30/2015
Kentucky 07/16/2010
Maine 08/27/2007
Maryland 07/16/2010
Massachusetts 01/23/2007
Michigan 07/16/2010
Minnesota 08/17/2011
New Hampshire 03/26/2007
New Jersey 09/29/2003
New York 09/17/2003
North Carolina 07/16/2010
Ohio 07/16/2010
Pennsylvania 07/16/2010
Puerto Rico 08/22/2011
Rhode Island 02/04/2008
South Carolina 07/16/2010
Texas 01/07/2013
Vermont 08/27/2007
Virginia 07/16/2010
West Virginia 07/16/2010
Wisconsin 07/16/2010

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