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Investment Adviser Firm Summary

BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC (CRD# 139627 / SEC# 8-67239, 801-69742)
Alternate Names: B.I. FINANCIAL AND INSURANCE SERVICES, LLC , BI FINANCIAL SERVICES , BROKERS FINANCIAL , BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC , BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC.

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 11/14/2008
Arizona Terminated 11/17/2008
Arkansas Terminated 11/17/2008
California Terminated 11/21/2008
Colorado Terminated 12/17/2008
Delaware Terminated 11/17/2008
District of Columbia Terminated 11/17/2008
Florida Terminated 11/17/2008
Georgia Terminated 11/17/2008
Idaho Terminated 11/19/2008
Illinois Terminated 11/14/2008
Indiana Terminated 11/17/2008
Iowa Terminated 11/19/2008
Kansas Terminated 11/17/2008
Kentucky Terminated 11/18/2008
Louisiana Terminated 11/17/2008
Maine Terminated 04/15/2008
Massachusetts Terminated 11/24/2008
Mississippi Terminated 11/17/2008
Missouri Terminated 11/17/2008
Montana Terminated 11/17/2008
Nebraska Terminated 11/19/2008
Nevada Terminated 11/25/2008
New Jersey Terminated 11/17/2008
New Mexico Terminated 11/17/2008
North Carolina Terminated 11/17/2008
North Dakota Terminated 11/17/2008
Ohio Terminated 11/17/2008
Oklahoma Terminated 12/23/2008
Oregon Terminated 11/17/2008
Pennsylvania Terminated 11/21/2008
Rhode Island Terminated 11/19/2008
South Carolina Terminated 11/17/2008
South Dakota Terminated 11/17/2008
Texas Terminated 11/17/2008
Virgin Islands Terminated 07/17/2012
Virginia Terminated 11/17/2008
Washington Terminated 11/17/2008
West Virginia Terminated 11/18/2008
Wisconsin Terminated 11/17/2008

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 11/17/2008
Alaska 04/01/2013
Arizona 11/14/2008
Arkansas 11/19/2008
California 08/06/2007
Colorado 11/17/2008
Connecticut 11/14/2008
Delaware 11/14/2008
District of Columbia 11/17/2008
Florida 11/14/2008
Georgia 11/17/2008
Hawaii 04/05/2011
Idaho 11/14/2008
Illinois 11/14/2008
Indiana 11/14/2008
Iowa 11/19/2008
Kansas 11/14/2008
Kentucky 11/17/2008
Louisiana 11/17/2008
Maine 11/24/2008
Maryland 11/14/2008
Massachusetts 11/17/2008
Michigan 12/16/2008
Minnesota 11/17/2008
Mississippi 11/17/2008
Missouri 11/14/2008
Montana 02/02/2009
Nebraska 01/06/2009
Nevada 11/14/2008
New Hampshire 11/17/2008
New Jersey 11/21/2008
New Mexico 02/02/2009
New York 11/17/2008
North Carolina 02/02/2009
North Dakota 11/17/2008
Ohio 11/14/2008
Oklahoma 02/02/2009
Oregon 11/17/2008
Pennsylvania 11/14/2008
Rhode Island 02/02/2009
South Carolina 11/17/2008
South Dakota 11/24/2008
Tennessee 11/14/2008
Texas 11/17/2008
Utah 11/14/2008
Vermont 02/02/2009
Virginia 11/17/2008
Washington 11/14/2008
West Virginia 11/18/2008
Wisconsin 11/14/2008

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