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Investment Adviser Firm Summary

401K GENERATION (CRD# 154279 / SEC# 801-71606)
Alternate Names: 401K GENERATION , RW DIRECT , WINTER PARK WEALTH MANAGEMENT

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 06/25/2010

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
Alabama 12/11/2017
Arizona 06/30/2017
California 03/05/2014
Colorado 06/30/2017
Connecticut 10/01/2014
Florida 06/25/2010
Georgia 11/24/2010
Illinois 09/04/2012
Kansas 06/30/2017
Louisiana 04/11/2012
Maryland 09/17/2012
Massachusetts 10/01/2014
Minnesota 02/06/2013
Mississippi 04/06/2016
Nevada 05/09/2017
New Jersey 12/20/2016
New York 06/07/2013
North Carolina 01/27/2017
Ohio 02/06/2013
Oregon 12/11/2017
Pennsylvania 03/05/2014
South Carolina 05/09/2017
Tennessee 06/30/2017
Texas 03/26/2012
Vermont 12/11/2017
Virginia 09/12/2016
Washington 07/26/2016
Wisconsin 02/06/2013

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