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Investment Adviser Firm Summary

PENNIALL & ASSOCIATES, INC. (CRD# 148282 / SEC# 801-69681)
Alternate Names: ATHLETE WEALTH MANAGEMENT GROUP (AWM GROUP) , PENNIALL & ASSOCIATES , PENNIALL & ASSOCIATES, INC. , PENNIALL RETIREMENT ADVISORS

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/23/2008

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
Alaska 03/30/2012
Arizona 09/23/2008
Arkansas 05/08/2013
California 09/23/2008
Colorado 11/23/2011
Connecticut 11/20/2009
District of Columbia 11/20/2009
Florida 11/23/2009
Georgia 03/30/2012
Hawaii 03/30/2012
Idaho 03/30/2012
Illinois 03/30/2012
Iowa 03/30/2012
Kansas 03/30/2012
Louisiana 06/16/2016
Maryland 03/30/2012
Massachusetts 03/30/2012
Michigan 03/30/2012
Minnesota 03/30/2012
Missouri 03/30/2012
Montana 11/28/2011
Nevada 11/20/2009
New Hampshire 03/30/2012
New Jersey 04/30/2012
New Mexico 05/22/2013
New York 09/23/2008
North Carolina 03/30/2012
Ohio 03/30/2012
Oregon 09/23/2008
Pennsylvania 03/30/2012
South Carolina 03/30/2012
Tennessee 11/23/2009
Texas 10/09/2008
Utah 03/30/2012
Vermont 03/30/2012
Virginia 03/30/2012
Washington 03/30/2012
West Virginia 01/05/2016
Wisconsin 03/30/2012

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