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Investment Adviser Firm Summary

SGL FINANCIAL, LLC (CRD# 158023 / SEC# 801-96223)
Alternate Names: ARGALLUS FINANCIAL , AUSTIN FIRST FINANCIAL , BETTER LIFE FINANCIAL, LLC , BLUE AND GRAY FINANCIAL , BOWERS AND ASSOCIATES, LLC , BROWN FINANCIAL GROUP , CHROBAK ADVISORY GROUP , COWEN TAX ADVISORY GROUP , CREW AND LLOYD , DEDICATED FINANCIAL SERVICES, LLC , DEDICATED SENIOR ADVISORS , DIVECHA FINANCIAL, LLC , DR. HAROLD WONG & ASSOCIATES , DUELL WEALTH MANAGEMENT , ESTATE AND WEALTH MANAGEMENT , FELTS FINANCIAL SERVICES , FINANCIAL RESOURCES GROUP , FIRST STATE FINANCIAL PLANNERS , FLIESS FINANCIAL SERVICES, LLC , GEURIN WEALTH MANAGEMENT , INTELLECTUAL BUSINESS SOLUTIONS , JARVIS LAW FIRM , JC FINANCIAL EDUCATORS , MAINSAIL WEALTH MANAGEMENT , MC2 WEALTH MANAGEMENT , MOORE FINANCIAL CONCEPTS , NORTHLAND FINANCIAL , PHELAN FINANCIAL SOLUTIONS , ROGERS TAX ADVISORY , SCOTT TUCKER SOLUTIONS , SGL FINANCIAL, LLC , SLOANE FINANCIAL SERVICES , STANDARD CAPITAL FINANCIAL , SUMMIT FINANCIAL GROUP OF TN , SUMMIT INVESTMENT STRATEGIES , TAMPA BAY ADVISORY, LLC , WEALTH FINANCIAL ADVISORY SERVICES , WEALTH FINANCIAL ADVISORY SERVICES LLC , WEALTH FINANCIAL ADVISORY SERVICES, LLC , WEALTH FINANCIAL GROUP , WEALTH FINANCIAL GROUP WEST, INC. , WELL BEING FINANCIAL GROUP , WITT FINANCIAL GROUP

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/29/2015
Arizona Terminated 05/29/2015
Arkansas Terminated 05/29/2015
California Terminated 06/28/2015
Colorado Terminated 06/19/2015
Connecticut Terminated 06/01/2015
Florida Terminated 05/29/2015
Illinois Terminated 05/29/2015
Iowa Terminated 06/30/2015
Mississippi Terminated 05/29/2015
New Jersey Terminated 06/16/2015
Oklahoma Terminated 05/29/2015
Pennsylvania Terminated 06/01/2015
South Dakota Terminated 05/29/2015
Texas Terminated 05/29/2015
Wisconsin Terminated 05/29/2015

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
Arkansas 05/29/2015
California 05/29/2015
Colorado 05/29/2015
Connecticut 05/29/2015
Delaware 09/07/2016
Florida 05/29/2015
Illinois 05/29/2015
Indiana 03/01/2016
Iowa 05/29/2015
Kentucky 03/14/2018
Louisiana 01/07/2016
Michigan 12/02/2015
New Hampshire 11/24/2015
New Jersey 06/16/2015
Ohio 07/06/2016
Oklahoma 05/29/2015
Oregon 03/29/2017
Tennessee 02/25/2016
Texas 05/29/2015
Virginia 06/21/2016
Wisconsin 05/29/2015

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