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Investment Adviser Firm Summary

FIELDPOINT PRIVATE SECURITIES, LLC (CRD# 18975 / SEC# 8-37105, 801-78295)
Alternate Names: E-BENEFITS , FIELDPOINT PRIVATE SECURITIES LLC , FIELDPOINT PRIVATE SECURITIES, LLC , FREEDOM FINANCIAL SERVICES, INC , FUTURES BENEFITS , METRO PENSION ANALYSTS, LTD. , NUTMEG SECURITIES, LLC , NUTMEG SECURITIES, LTD. , SPECTRUM FINANCIAL STRATEGIES, INC.

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 07/31/2013
Arizona Terminated 08/22/2013
California Terminated 09/22/2013
Colorado Terminated 08/23/2013
Connecticut Terminated 08/27/2013
Delaware Terminated 08/22/2013
Florida Terminated 08/22/2013
Georgia Terminated 08/26/2013
Louisiana Terminated 08/28/2013
Maryland Terminated 01/22/2013
Michigan Terminated 09/09/2013
Nevada Terminated 09/17/2013
New Jersey Terminated 11/04/2013
New Mexico Terminated 08/22/2013
New York Terminated 08/22/2013
North Carolina Terminated 08/22/2013
Ohio Terminated 08/22/2013
Oregon Terminated 08/22/2013
Pennsylvania Terminated 08/22/2013
Rhode Island Terminated 08/22/2013
South Dakota Terminated 08/22/2013
Texas Terminated 08/22/2013

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 08/21/2013
California 08/21/2013
Colorado 10/10/2016
Connecticut 07/31/2013
Florida 08/22/2013
Illinois 04/01/2014
Maryland 08/21/2013
Minnesota 03/29/2016
Missouri 03/19/2014
New Hampshire 03/29/2016
New Jersey 08/07/2013
New York 07/31/2013
North Carolina 08/21/2013
Pennsylvania 07/31/2013
Texas 08/21/2013
Virginia 03/29/2016

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