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Investment Adviser Firm Summary

PENSION PLANNERS SECURITIES, INC. (CRD# 14068 / SEC# 8-30212)
Alternate Names: ANGUS BARKER & NEUBERT SECURITIES , ANGUS, BARKER & NEUBERT SECURITIES, INC. , PENSION PLANNERS INSURANCE SERVICES, INC. , PENSION PLANNERS SECURITIES, INC.


The investment adviser you have selected is NOT currently registered and is NOT filing reports with the SEC or any state.

(Last Form ADV Filed On 12/18/2012)
This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
Arizona Terminated 11/28/2011
California Terminated 02/20/2014
District of Columbia Terminated 11/14/2008
Indiana Terminated 11/14/2008
Louisiana Terminated 12/31/2008
Missouri Terminated 11/14/2008
Nevada Terminated 12/03/2008
New Mexico Terminated 11/14/2008
Oregon Terminated 11/28/2011
Tennessee Terminated 12/14/2008
Utah Terminated 11/28/2011
Wisconsin Terminated 11/14/2008

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.


Not Currently Notice Filed


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