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Investment Adviser Firm Summary

GRADIENT SECURITIES, LLC (CRD# 127701 / SEC# 8-66032, 801-80807)
Alternate Names: GRADIENT SECURITIES, LLC , GRADIENT WEALTH MANAGEMENT , SYM CAPITAL SECURITIES, 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 01/08/2015

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
Alaska 02/16/2018
Arizona 02/06/2015
Arkansas 01/08/2015
California 01/08/2015
Colorado 02/06/2015
Connecticut 09/16/2016
District of Columbia 05/02/2016
Florida 01/08/2015
Georgia 04/20/2015
Hawaii 07/23/2015
Idaho 04/16/2015
Illinois 01/12/2015
Indiana 02/25/2015
Iowa 02/04/2015
Kansas 01/08/2015
Kentucky 06/22/2016
Louisiana 01/08/2015
Maine 01/08/2015
Maryland 01/03/2017
Massachusetts 05/23/2016
Michigan 01/08/2015
Minnesota 01/08/2015
Mississippi 06/22/2015
Missouri 05/01/2015
Nebraska 01/30/2018
Nevada 04/20/2015
New Hampshire 02/13/2015
New Jersey 01/08/2015
New Mexico 11/08/2016
New York 02/13/2015
North Carolina 03/04/2015
Ohio 02/13/2015
Oklahoma 01/08/2015
Oregon 02/20/2015
Pennsylvania 01/08/2015
Rhode Island 09/29/2015
South Carolina 01/08/2015
South Dakota 07/17/2015
Tennessee 07/25/2016
Texas 01/08/2015
Utah 04/01/2015
Virginia 03/04/2015
Washington 01/08/2015
West Virginia 03/04/2015
Wisconsin 01/08/2015

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