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Investment Adviser Firm Summary

FINANCIAL SOUNDINGS INVESTMENT ADVISOR, LLC (CRD# 146082 / SEC# 801-69584)
Alternate Names: FINANCIAL SOUNDINGS , FINANCIAL SOUNDINGS INVESTMENT ADVISOR, LLC , FS

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/19/2008

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 02/22/2016
Alaska 02/22/2016
Arizona 02/22/2016
Arkansas 02/22/2016
California 09/19/2008
Colorado 09/19/2008
Connecticut 02/22/2016
Florida 09/19/2008
Georgia 09/19/2008
Hawaii 02/22/2016
Illinois 04/03/2015
Indiana 12/08/2010
Iowa 02/22/2016
Kansas 01/08/2009
Kentucky 02/22/2016
Louisiana 12/14/2011
Maryland 02/22/2016
Massachusetts 12/06/2012
Michigan 02/22/2016
Minnesota 02/22/2016
Mississippi 12/09/2009
Missouri 02/22/2016
Nevada 12/26/2008
New Hampshire 02/22/2016
New Jersey 01/20/2009
New Mexico 02/22/2016
New York 12/14/2011
North Carolina 09/19/2008
Ohio 12/26/2008
Oregon 09/19/2008
Pennsylvania 01/17/2013
Puerto Rico 02/22/2016
Rhode Island 02/22/2016
South Carolina 02/22/2016
Tennessee 12/14/2011
Texas 12/14/2011
Virginia 02/22/2016
Washington 02/22/2016
West Virginia 02/22/2016
Wisconsin 02/22/2016

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