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Investment Adviser Firm Summary

BAY COLONY ADVISORY GROUP, INC. (CRD# 152583 / SEC# 801-107792)
Alternate Names: BAY COLONY ADVISORS , BAY COLONY ADVISORY GROUP, INC. , CASTLE HILL FINANCIAL , CHRISTOPHER LEE FINANCIAL , ESSENTIAL ASSET MANAGEMENT, LLC , GLAZIER FINANCIAL ADVISORS , GREENHAVEN FINANCIAL MANAGEMENT , HAGIN INVESTMENT MANAGEMENT , HOLLISTER INSURANCE , PENSION & WEALTH MANAGEMENT ADVISORS , SENTINEL ADVISORY SERVICES , TEWKS WEALTH MANAGEMENT, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/17/2016
Connecticut Terminated 06/03/2016
Florida Terminated 05/19/2016
Georgia Terminated 12/10/2014
North Carolina Terminated 06/24/2016
Texas Terminated 05/19/2016

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 04/07/2017
Colorado 09/12/2016
Connecticut 05/17/2016
Florida 05/17/2016
Iowa 09/12/2016
Louisiana 03/26/2018
Maine 04/07/2017
Massachusetts 05/17/2016
New Hampshire 05/17/2016
Rhode Island 03/26/2018
Texas 05/17/2016
Vermont 09/23/2016
Washington 09/23/2016

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