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Investment Adviser Firm Summary

WILLINGDON WEALTH MANAGEMENT LLC (CRD# 129613 / SEC# 801-63624)
Alternate Names: WILLINGDON WEALTH MANAGEMENT INC. , WILLINGDON WEALTH MANAGEMENT LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/28/2004
North Carolina Terminated 01/14/2005

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
California 07/03/2017
Connecticut 03/29/2016
Florida 08/14/2009
Georgia 06/23/2016
Indiana 07/03/2017
Louisiana 03/29/2018
Massachusetts 02/27/2017
Michigan 01/11/2017
Nevada 07/03/2017
New Jersey 03/30/2012
New York 01/09/2008
North Carolina 01/10/2005
Ohio 07/17/2015
Pennsylvania 06/23/2016
South Carolina 10/13/2011
Texas 01/05/2011
Virginia 08/13/2009
Washington 07/03/2017

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