at


Investment Adviser Firm Summary

EXCEL SECURITIES & ASSOCIATES,INC. (CRD# 16629 / SEC# 8-34261, 801-69225)
Alternate Names: EXCEL SECURITIES , EXCEL SECURITIES & ASSOCIATES, INC. , EXCEL SECURITIES & ASSOCIATES,INC. , LANZISERA, JOSEPH ANTHONY

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 06/11/2008
Florida Terminated 06/18/2008

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
Arizona 08/10/2015
California 05/22/2009
Colorado 07/11/2011
Connecticut 06/20/2011
Florida 06/11/2008
Georgia 01/04/2010
Hawaii 01/04/2010
Indiana 03/06/2017
Maine 06/27/2012
Maryland 09/02/2010
Massachusetts 11/07/2008
Michigan 01/05/2010
Minnesota 01/04/2010
Missouri 09/01/2011
Nevada 09/22/2008
New Jersey 06/18/2008
New York 06/11/2008
North Carolina 01/07/2010
Ohio 01/04/2010
Oregon 06/10/2013
Pennsylvania 08/07/2008
Puerto Rico 03/29/2018
Rhode Island 06/20/2011
South Carolina 01/18/2012
Tennessee 01/05/2010
Texas 01/11/2010
Utah 01/13/2010
Vermont 09/25/2017
Virginia 06/20/2011
Washington 09/22/2008

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