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Investment Adviser Firm Summary

HOUSEHOLDER GROUP ESTATE AND RETIREMENT SPECIALIST, LLC (CRD# 169045 / SEC# 801-78565)
Alternate Names: AARON FINANCIAL SERVICES , CICHON FINANCIAL SERVICES , HILL FINANCIAL PLANNING , HOUSEHOLDER FINANCIAL ADVISORS LLC , HOUSEHOLDER GROUP , HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS , HOUSEHOLDER GROUP ESTATE AND RETIREMENT SPECIALIST, LLC , HOUSEHOLDER GROUP FINANCIAL ADVISORS , HOUSEHOLDER GROUP OF TEXAS , IRA SPECIALISTS , KAVE FAMILY INSURANCE , KAVE FAMILY FINANCIAL , L.H. NICKELS WEALTH MANAGEMENT , LUNCEFORD PRIVATE WEALTH MANAGEMENT , MASSEY FINANCIAL SERVICES, LLC DBA MASSEY FINANCIAL SERVICES , NICKELS WEALTH MANAGEMENT , RIDLEY WEALTH STRATEGIES , RUSSO FINANCIAL MANAGEMENT , TAX AND INVESTMENT ADVOCATES

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/20/2013

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
Arizona 09/20/2013
Arkansas 09/20/2013
California 09/20/2013
Colorado 09/20/2013
Connecticut 09/20/2013
Delaware 09/20/2013
District of Columbia 09/20/2013
Florida 09/20/2013
Georgia 09/20/2013
Hawaii 02/26/2015
Idaho 02/26/2015
Illinois 09/20/2013
Indiana 09/20/2013
Iowa 09/20/2013
Kansas 09/20/2013
Kentucky 09/20/2013
Louisiana 09/20/2013
Maryland 02/18/2015
Massachusetts 09/20/2013
Michigan 09/20/2013
Minnesota 09/20/2013
Mississippi 09/20/2013
Missouri 09/20/2013
Montana 09/20/2013
Nebraska 09/20/2013
Nevada 09/20/2013
New Jersey 09/25/2013
New Mexico 09/20/2013
New York 09/20/2013
North Carolina 09/20/2013
Ohio 09/20/2013
Oklahoma 09/20/2013
Oregon 09/20/2013
Pennsylvania 09/20/2013
South Carolina 09/20/2013
Tennessee 09/20/2013
Texas 09/20/2013
Utah 09/20/2013
Virginia 09/20/2013
Washington 09/20/2013
West Virginia 09/20/2013
Wisconsin 09/20/2013

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