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Investment Adviser Firm Summary

ZEGA FINANCIAL, LLC (CRD# 156803 / SEC# 801-78723)
Alternate Names: ZEGA FINANCIAL, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/25/2013
Arkansas Terminated 10/28/2013
California Terminated 11/27/2013
Florida Terminated 10/28/2013
Illinois Terminated 10/25/2013
Indiana Terminated 10/28/2013
Louisiana Terminated 11/13/2013
Maryland Terminated 11/06/2013
Nebraska Terminated 11/05/2013
New Jersey Terminated 11/04/2013
North Carolina Terminated 10/28/2013
Ohio Terminated 10/28/2013
Texas Terminated 10/28/2013
Wisconsin Terminated 10/28/2013

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 12/01/2014
Arizona 01/03/2014
Arkansas 10/25/2013
California 10/25/2013
Colorado 01/03/2014
Connecticut 12/01/2014
District of Columbia 12/01/2014
Florida 10/25/2013
Georgia 01/03/2014
Hawaii 12/01/2014
Idaho 10/11/2016
Illinois 10/25/2013
Indiana 10/25/2013
Iowa 12/01/2014
Kansas 01/03/2014
Kentucky 01/03/2014
Louisiana 10/25/2013
Maine 12/01/2014
Maryland 10/25/2013
Massachusetts 12/01/2014
Michigan 10/25/2013
Minnesota 01/03/2014
Mississippi 12/01/2014
Missouri 01/03/2014
Nebraska 10/25/2013
Nevada 01/03/2014
New Hampshire 12/01/2014
New Jersey 11/07/2013
New York 10/25/2013
North Carolina 10/25/2013
North Dakota 01/03/2014
Ohio 10/25/2013
Oklahoma 12/01/2014
Oregon 12/01/2014
Pennsylvania 01/03/2014
Rhode Island 01/03/2014
South Carolina 12/01/2014
Tennessee 12/01/2014
Texas 10/25/2013
Utah 05/09/2018
Virginia 12/01/2014
Washington 12/01/2014
Wisconsin 10/25/2013

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