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Investment Adviser Firm Summary

GATEWAY ADVISORY, LLC (CRD# 152347 / SEC# 801-70890)
Alternate Names: AMHERST FINANCIAL SERVICES , GATEWAY ADVISORS, LLC , GATEWAY ADVISORY, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/04/2010

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 11/05/2015
Connecticut 10/23/2013
Florida 01/19/2010
Massachusetts 06/07/2016
New Hampshire 10/23/2013
New Jersey 02/17/2010
New York 01/15/2010
North Carolina 12/05/2012
Ohio 03/21/2018
Pennsylvania 01/15/2010
South Carolina 11/05/2015
Texas 01/15/2010
Virginia 08/08/2014

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