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Investment Adviser Firm Summary

PORTFOLIO MEDICS, LLC (CRD# 145958 / SEC# 801-113846)
Alternate Names: 401 (K) MEDICS, LLC , 401(K) MEDICS, LLC,403(B) MEDICS, LLC , PORTFOLIO MEDICS, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 08/16/2018
Arizona Terminated 10/03/2018
California Termination Requested 10/03/2018
Florida Terminated 10/03/2018
Georgia Terminated 10/05/2018
Illinois Terminated 11/18/2011
Kentucky Terminated 10/03/2018
Minnesota Terminated 11/18/2011
New York Terminated 11/18/2011
North Carolina Terminated 10/05/2018
Ohio Terminated 10/03/2018
Oregon Terminated 10/03/2018
South Carolina Terminated 10/03/2018
Tennessee Terminated 10/04/2018
Texas Terminated 10/03/2018
Virginia Terminated 11/13/2015
West Virginia Terminated 11/18/2011

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
California 08/16/2018
Florida 08/16/2018
Georgia 08/16/2018
Louisiana 08/16/2018
New Hampshire 08/16/2018
New York 08/16/2018
North Carolina 08/16/2018
Ohio 08/16/2018
Oklahoma 09/26/2018
Oregon 08/16/2018
South Carolina 08/16/2018
Tennessee 08/16/2018
Texas 08/16/2018

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