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Investment Adviser Firm Summary

SOWELL FINANCIAL SERVICES, LLC (CRD# 127145 / SEC# 801-63991)
Alternate Names: ADVISORS 360 , ADVISORY FIDUCIARY , AMICUS FINANCIAL , BARRY L. MOSS & ASSOCIATES, INC. , BIRKBECK CAPITAL , BRINGHURST FINANCIAL SERVICE, L.L.L. , BUIS CAPITAL MANAGEMENT , CADENCE CAPITAL MANAGEMENT , CLARUS WEALTH MANAGEMENT , CLEARWEALTH , CLEARWEALTH ASSET MANAGEMENT , CLINTON WEALTH MANAGEMENT , CLINTON WEALTH MANAGEMENT LLC , COMPENSATION DESIGNS , CORINTHIAN WEALTH MANAGEMENT , DIANNE MAE FINANCIAL , EKW ADVANTAGE , ELEMENT FINANCIAL L.L.C. , ENDURANCE FINANCIAL , EPERSONAL FINANCIAL , FONTIS INVESTMENTS , FORECAST CAPITAL MANAGEMENT, INC , FORTRESS MEGA , HARVEST MOON WEALTH ADVISORS , HUNT WEALTH MANAGEMENT , JACOBS FINANCIAL ADVISORS , JAMES GRAHAN , JB INDEPENDENT FINANCIAL , JB INDEPENDENT FINANCIAL, INC. , KAN WEALTH MANAGEMENT , KUMQUAT, LLC , LAMPE FINANCIAL , LEINSTER FINANCIAL , LIGHTHOUSE WEALTH STRATEGIES , MADISON PARK ADVISORS , MENLO OAKS CAPITAL GROUP , MT. BAKER CAPITAL, L.L.C. , NORTH STAR WEALTH MANAGEMENT , NORTHSTAR WEALTH MANAGEMENT , PEAR TREE WEALTH MANAGEMENT , PLATINUM WEALTH MANAGEMENT , PNW PREMIER WEALTH , REPPOND INVESTMENTS , REVIRESCO WEALTH ADVISORY , SAPPHIRE WEALTH MANAGEMENT , SC WEALTH MANAGEMENT , SENTINEL WEALTH STRATEGIES , SOWELL FINANCIAL SERVICES , SOWELL FINANCIAL SERVICES, LLC , SOWELL MANAGEMENT SERVICES , STRATEGIC FINANCIAL PLANNING, LLC , SUMMATION INVESTMENT ADVISORY , TRIUMPHANT PORTFOLIO MANAGEMENT, LLC , VALUE WEALTH , VERDEO FINANCIAL & INSURANCE STRATEGIES , WEALTHCARE ADVISORS , WESTERN FINANCIAL, LLC , WORRELL ADVISORY SERVICES , ZENITH GROUP, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/27/2005
Arkansas Terminated 03/01/2005

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 01/11/2017
Arizona 09/21/2009
Arkansas 03/01/2005
California 09/21/2009
Colorado 01/05/2016
Connecticut 03/24/2016
Delaware 01/05/2016
District of Columbia 03/31/2018
Florida 09/22/2009
Georgia 03/31/2014
Hawaii 03/31/2014
Idaho 01/05/2016
Illinois 05/27/2014
Indiana 10/03/2016
Iowa 09/22/2016
Kansas 03/31/2018
Kentucky 03/31/2018
Louisiana 06/29/2015
Maryland 09/21/2009
Michigan 03/31/2014
Minnesota 03/31/2014
Mississippi 09/21/2009
Missouri 03/31/2014
Montana 01/22/2016
Nebraska 03/31/2018
Nevada 03/31/2014
New Jersey 10/26/2009
New Mexico 03/31/2014
New York 01/11/2017
North Carolina 03/31/2014
Ohio 03/31/2018
Oklahoma 03/13/2017
Oregon 03/31/2014
Pennsylvania 09/21/2009
South Carolina 03/31/2018
Tennessee 01/05/2016
Texas 05/02/2006
Utah 01/22/2016
Virginia 01/05/2016
Washington 03/21/2014
West Virginia 01/06/2016
Wisconsin 03/31/2018

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