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Investment Adviser Firm Summary

ANNEX ADVISORY SERVICES, LLC (CRD# 127987 / SEC# 801-63505)
Alternate Names: ANNEX ADVISORY SERVICES, LLC , ANNEX WEALTH MANAGEMENT, LLC , SAVVY , SAVVY - POWERED BY ANNEX WEALTH MANAGEMENT

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/24/2004

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 01/12/2012
California 05/31/2016
Colorado 03/30/2017
Florida 03/16/2007
Illinois 09/30/2004
Indiana 08/30/2017
Iowa 08/30/2017
Kentucky 08/30/2017
Michigan 08/30/2017
Minnesota 01/12/2012
New Hampshire 03/30/2018
North Carolina 05/31/2016
South Carolina 05/31/2016
Tennessee 10/27/2014
Texas 03/28/2014
Wisconsin 09/24/2004

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