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Investment Adviser Firm Summary

SYNOVUS SECURITIES, INC. (CRD# 14023 / SEC# 8-34709, 801-19690)
Alternate Names: CALUMET FINANCIAL ASSOCIATES INC. , CALUMET FINANCIAL ASSOCIATES, INC. , CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. , SYNOVUS FINANCIAL PLANNING SERVICES , SYNOVUS SECURITIES, INC.

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 09/01/1983

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 03/14/1991
Arizona 08/20/2002
Arkansas 08/07/1997
California 05/21/2002
Colorado 09/02/2005
Connecticut 06/13/2017
Delaware 07/13/2007
District of Columbia 01/02/2014
Florida 01/11/1988
Georgia 05/03/1989
Hawaii 01/02/2014
Illinois 12/11/1985
Indiana 11/30/2010
Iowa 09/13/2004
Kansas 11/30/2010
Kentucky 01/19/2005
Louisiana 12/17/2008
Maine 03/09/2018
Maryland 11/30/2010
Massachusetts 11/30/2010
Michigan 09/01/2015
Minnesota 08/04/2007
Mississippi 06/23/2006
Missouri 07/17/2006
Montana 07/01/2008
Nebraska 09/02/2004
Nevada 10/04/2004
New Hampshire 11/24/2015
New Jersey 03/01/1996
New Mexico 12/06/2004
New York 07/13/2005
North Carolina 10/24/2001
Ohio 05/05/2005
Oklahoma 09/19/2002
Oregon 07/31/2015
Pennsylvania 01/02/2014
Rhode Island 11/30/2010
South Carolina 12/16/1998
South Dakota 11/30/2010
Tennessee 04/30/1998
Texas 06/29/1990
Utah 01/31/2005
Vermont 12/06/2010
Virginia 12/08/2004
Washington 05/16/2006
West Virginia 07/24/2017
Wisconsin 11/30/2010
Wyoming 06/19/2018

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