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Investment Adviser Firm Summary

GLOBAL FINANCIAL PRIVATE CAPITAL, LLC (CRD# 132070 / SEC# 801-63282)
Alternate Names: FINANCIAL DYNAMICS & ASSOCIATES, INC. , GLOBAL FINANCIAL PRIVATE CAPITAL, LLC , NFB PRIVATE CAPITAL

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/12/2004

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
Alabama 02/17/2010
Alaska 07/05/2011
Arizona 01/11/2010
Arkansas 06/30/2010
California 10/21/2005
Colorado 03/30/2010
Connecticut 07/05/2011
Delaware 03/02/2010
District of Columbia 02/05/2012
Florida 07/12/2004
Georgia 04/13/2010
Hawaii 02/06/2012
Idaho 03/10/2010
Illinois 03/02/2010
Indiana 10/11/2010
Iowa 01/05/2011
Kansas 01/26/2010
Kentucky 02/22/2010
Louisiana 02/06/2012
Maine 07/05/2011
Maryland 02/22/2010
Massachusetts 01/26/2010
Michigan 01/26/2010
Minnesota 03/30/2010
Mississippi 02/06/2012
Missouri 02/01/2010
Montana 02/06/2012
Nebraska 07/05/2011
Nevada 05/13/2010
New Hampshire 03/26/2007
New Jersey 03/10/2010
New Mexico 07/05/2011
New York 07/05/2011
North Carolina 03/02/2010
North Dakota 02/06/2012
Ohio 02/17/2010
Oklahoma 01/26/2010
Oregon 05/19/2011
Pennsylvania 02/22/2010
Puerto Rico 02/06/2012
Rhode Island 03/02/2010
South Carolina 04/15/2011
South Dakota 07/06/2011
Tennessee 01/19/2011
Texas 11/13/2007
Utah 07/22/2010
Vermont 02/06/2012
Virgin Islands 02/06/2012
Virginia 09/01/2010
Washington 03/17/2010
West Virginia 05/26/2010
Wisconsin 01/26/2010

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