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Investment Adviser Firm Summary

CUNA BROKERAGE SERVICES, INC. (CRD# 13941 / SEC# 8-30027, 801-60099)
Alternate Names: CUNA BROKERAGE SERVICES, INC. , CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS AAFCU INVESTMENT & RETIREMENT ADVISORS , CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS ALEC INVESTMENT ADVISORS , CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS BCU INVESTMENT ADVISORS , CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS CLEARVIEW INVESTMENT ADVISORS , CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS ENVISTA INVESTMENT ADVISORS , CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS FINANCIALEDGE ADVISORY GROUP , CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS FIRST WEALTH ADVISORS , CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS MECU INVESTMENT ADVISORS , CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS TENNESSEE VALLEY INVESTMENT ADVISORS , CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS WESTCONSIN INVESTMENT ADVISORS

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/23/2001
California Terminated 05/21/2001
Georgia Terminated 03/13/2001
Illinois Terminated 06/18/2001
Indiana Terminated 10/11/2006
Michigan Terminated 07/18/2000
Minnesota Terminated 04/23/2001
New York Cancelled 08/03/2001
Oregon Terminated 06/25/2001
Texas Terminated 04/04/2002

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 04/23/2001
Alaska 04/23/2001
Arizona 04/23/2001
Arkansas 04/17/2001
California 07/08/1997
Colorado 04/23/2001
Connecticut 04/23/2001
Delaware 09/05/2003
District of Columbia 04/23/2001
Florida 04/23/2001
Georgia 06/06/2001
Hawaii 04/23/2001
Idaho 04/23/2001
Illinois 06/06/2001
Indiana 03/28/2002
Iowa 04/23/2001
Kansas 07/02/2001
Kentucky 04/23/2001
Louisiana 04/23/2001
Maine 04/23/2001
Maryland 04/23/2001
Massachusetts 04/23/2001
Michigan 06/06/2001
Minnesota 06/20/2001
Mississippi 04/23/2001
Missouri 04/23/2001
Montana 04/23/2001
Nebraska 04/23/2001
Nevada 04/23/2001
New Hampshire 04/23/2001
New Jersey 10/15/2001
New Mexico 04/23/2001
New York 10/18/1996
North Carolina 04/23/2001
North Dakota 04/23/2001
Ohio 04/23/2001
Oklahoma 06/15/2001
Oregon 06/06/2001
Pennsylvania 07/16/1984
Rhode Island 04/23/2001
South Carolina 04/23/2001
South Dakota 04/23/2001
Tennessee 09/04/2001
Texas 03/28/2002
Utah 04/27/2001
Vermont 04/23/2001
Virginia 04/23/2001
Washington 11/19/1996
West Virginia 04/23/2001
Wisconsin 03/06/1996

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