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Investment Adviser Firm Summary

SNS FINANCIAL GROUP, LLC (CRD# 152667 / SEC# 801-70998)
Alternate Names: SNS FINANCIAL GROUP, LLC , STONE SUMMIT CAPITAL , VECTOR WEALTH MANAGEMENT , VECTOR WEALTH MANAGEMENT, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/15/2010

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
Arizona 11/30/2011
California 05/21/2013
Colorado 02/03/2010
Florida 12/01/2011
Illinois 11/28/2011
Indiana 07/11/2012
Iowa 02/03/2012
Kansas 11/30/2011
Louisiana 01/24/2017
Minnesota 01/15/2010
Missouri 02/03/2012
Nebraska 11/08/2011
New Jersey 04/10/2015
New York 11/29/2017
North Carolina 01/24/2017
North Dakota 11/08/2011
Ohio 03/30/2010
Oklahoma 04/24/2017
Pennsylvania 01/24/2017
South Dakota 11/08/2011
Tennessee 01/24/2017
Texas 01/10/2011
Wisconsin 11/30/2011

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