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Investment Adviser Firm Summary

INVESTMENT ADVISORS ASSET MANAGEMENT, LLC (CRD# 128716 / SEC# 801-62575)
Alternate Names: 1ST INVESTMENT CONSULTING GROUP , AKTT FINANCIAL GROUP , ANCHOR WEALTH STRATEGIES , BUTTERWORTH FINANCIAL SERVICES , CLEAR SAILING FINANCIAL GROUP , CREATIVE ASSET MANAGEMENT , FIRST SOURCE FINANCIAL, INC. , GARA GROUP , GENDA FINANCIAL GROUP , HARBOUR MASTER DIVERSIFIED FINANCIAL SERVICES , HEARTLAND FINANCIAL SERVICES , HYDE FINANCIAL GROUP , INVESTMENT ADVISORS ASSET MANAGEMENT, LLC , INVESTMENT ADVISORS FINANCIAL GROUP , INVESTMENT ADVISORS MANAGEMENT , INVESTMENT ADVISORS WEALTH MANAGEMENT , J&J WEALTH ADVISORS, LLC. , JCB ADVISORS , JOSEPH CARR ASSOCIATES , LIGHTHOUSE WEALTH MANAGEMENT , LYNN ADVISORY GROUP , MWM FINANCIAL LLC , OPTIMUM ASSET MANAGEMENT , PERSONALIZED INVESTMENT & INSURANCE PLANNING ASSOCIATES , PORTFOLIO MANAGEMENT & INVESTMENTS , RCS FINANCIAL SERVICES , RIKER ASSOCIATES, LLC. , SEIBOLD FINANCIAL SERVICES , SHADOW INVESTMENTS, INC. , STRATEGIC INVESTMENT ADVISORS , SYNERGY ADVISORY MANAGEMENT GROUP, LLC , TAX RELIEF INVESTMENTS , TITAN FINANCIAL SERVICES , W. S. BEEBE & ASSOCIATES

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/02/2004

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 01/22/2008
California 01/22/2008
Connecticut 01/22/2008
Delaware 01/30/2008
Florida 06/02/2005
Illinois 10/01/2018
Kansas 01/02/2004
Maryland 01/22/2008
Missouri 01/22/2008
Nebraska 05/19/2006
New Hampshire 08/26/2004
New Jersey 12/10/2003
New York 06/18/2004
North Carolina 01/04/2011
Pennsylvania 01/02/2004
Texas 09/24/2008
Virginia 01/22/2008

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