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Investment Adviser Firm Summary

FINANCIAL GUARD, LLC (CRD# 156059 / SEC# 801-78197)
Alternate Names: FINANCIAL GUARD, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 06/27/2013

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 10/14/2016
Alaska 10/14/2016
Arizona 10/14/2016
Arkansas 10/14/2016
California 06/27/2013
Colorado 10/14/2016
Connecticut 10/14/2016
Delaware 10/14/2016
District of Columbia 06/27/2013
Florida 06/27/2013
Georgia 06/27/2013
Hawaii 10/14/2016
Idaho 10/14/2016
Illinois 06/27/2013
Indiana 06/27/2013
Iowa 10/14/2016
Kansas 10/14/2016
Kentucky 10/14/2016
Louisiana 06/27/2013
Maine 10/14/2016
Maryland 10/14/2016
Massachusetts 10/14/2016
Michigan 06/27/2013
Minnesota 10/14/2016
Mississippi 10/14/2016
Missouri 10/14/2016
Montana 10/14/2016
Nebraska 10/14/2016
Nevada 10/14/2016
New Hampshire 10/14/2016
New Jersey 07/29/2013
New Mexico 10/14/2016
New York 06/27/2013
North Carolina 10/14/2016
North Dakota 10/14/2016
Ohio 06/27/2013
Oklahoma 10/14/2016
Oregon 10/14/2016
Pennsylvania 06/27/2013
Puerto Rico 10/14/2016
Rhode Island 10/14/2016
South Carolina 10/14/2016
South Dakota 10/14/2016
Tennessee 10/14/2016
Texas 06/27/2013
Utah 06/27/2013
Vermont 10/14/2016
Virgin Islands 10/14/2016
Virginia 06/27/2013
Washington 10/14/2016
West Virginia 10/14/2016
Wisconsin 10/14/2016
Wyoming 10/15/2018

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