at


Investment Adviser Firm Summary

WESTPARK WEALTH ADVISORS (CRD# 130914 / SEC# 801-63009)
Alternate Names: IMS FINANCIAL ADVISORS, INC. , WEST PARK WEALTH ADVISORS , WESTPARK WEALTH ADVISORS

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/28/2004

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
Alaska 11/13/2013
Arizona 04/28/2004
Arkansas 11/18/2005
California 04/28/2004
Colorado 04/28/2004
Florida 04/28/2004
Georgia 05/14/2014
Hawaii 03/18/2005
Idaho 08/25/2014
Indiana 04/28/2004
Iowa 12/22/2011
Kansas 10/19/2006
Louisiana 03/31/2006
Maryland 04/28/2004
Massachusetts 05/01/2017
Michigan 04/16/2010
Mississippi 03/31/2006
Missouri 12/22/2011
Nebraska 02/01/2010
New Jersey 05/23/2017
New Mexico 02/06/2007
New York 12/22/2011
North Carolina 04/28/2004
Ohio 04/28/2004
Oklahoma 11/07/2005
Oregon 10/31/2012
Pennsylvania 06/02/2011
South Carolina 03/30/2018
South Dakota 04/28/2014
Tennessee 04/26/2017
Texas 04/28/2004
Utah 03/04/2013
Virginia 04/28/2004
Washington 04/28/2004
West Virginia 01/14/2015
Wisconsin 06/16/2008

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