at


Investment Adviser Firm Summary

SECURIAN FINANCIAL SERVICES, INC. (CRD# 15296 / SEC# 8-31955, 801-45152)
Alternate Names: ASCEND FINANCIAL SERVICES, INC. , MIMLIC SALES CORPORATION , SECURIAN FINANCIAL SERVICES, INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 11/17/1993

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 08/15/2000
Alaska 01/01/1999
Arizona 01/06/1998
Arkansas 06/24/1996
California 07/08/1997
Colorado 01/01/1999
Connecticut 07/01/1997
Delaware 06/04/1996
District of Columbia 06/28/1996
Florida 01/02/1996
Georgia 04/23/1998
Hawaii 05/20/1999
Idaho 07/01/1996
Illinois 06/29/1998
Indiana 02/28/2001
Iowa 01/26/1999
Kansas 12/23/1997
Kentucky 03/28/2002
Louisiana 09/27/2001
Maine 07/17/1996
Maryland 07/15/1996
Massachusetts 04/04/2005
Michigan 03/28/2002
Minnesota 03/08/1994
Mississippi 02/23/2001
Missouri 12/24/1997
Montana 12/19/1997
Nebraska 07/31/1997
Nevada 06/06/1996
New Hampshire 08/21/1996
New Jersey 08/01/1997
New Mexico 05/31/1996
New York 06/06/1996
North Carolina 02/23/2001
North Dakota 12/13/1999
Ohio 01/20/2000
Oklahoma 01/01/1998
Oregon 03/28/2002
Pennsylvania 03/28/2002
Rhode Island 01/01/1998
South Carolina 06/10/1996
South Dakota 05/29/1996
Tennessee 01/01/1998
Texas 10/28/1984
Utah 06/11/1996
Vermont 06/10/1996
Virginia 07/09/1996
Washington 07/09/1996
West Virginia 01/05/1998
Wisconsin 06/14/1996

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