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Investment Adviser Firm Summary

TFS SECURITIES, INC. (CRD# 20626 / SEC# 8-38377, 801-56426)
Alternate Names: COLTS NECK WHY T&T SECURITIES, INC. , INNOVATIVE MARKET TRENDS , NASD SPELLING ERROR - POTFOLIO SHOULD BE PORTFOLIO , TFS ADVISORY SERVICES , TFS PORTFOLIO ADVISORY SERVICES , TFS PORTFOLIO ADVISORY SERVICES, A DIVISION OF TFS SECURITIES, INC. , TFS PORTFOLIO ADVISORY SERVICES,DIVISION OF TFS SECURITIES, INC. , TFS POTFOLIO ADVISORY SERVICES , TFS SECURITIES, INC. , TFS WEALTH MANAGEMENT

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 05/05/1999

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 02/23/2006
Alaska 02/23/2006
Arizona 03/25/2004
Arkansas 02/27/2006
California 03/25/2004
Colorado 03/25/2004
Connecticut 02/23/2006
Delaware 05/19/2003
District of Columbia 02/23/2006
Florida 10/01/1997
Georgia 03/25/2004
Hawaii 02/23/2006
Idaho 02/23/2006
Illinois 05/22/2003
Indiana 02/23/2006
Iowa 02/23/2006
Kansas 02/23/2006
Kentucky 02/23/2006
Louisiana 02/23/2006
Maine 02/23/2006
Maryland 09/03/2002
Massachusetts 03/25/2004
Michigan 02/23/2006
Minnesota 02/28/2006
Mississippi 02/18/2005
Missouri 02/23/2006
Montana 02/23/2006
Nebraska 02/23/2006
Nevada 02/23/2006
New Hampshire 02/23/2006
New Jersey 01/24/1997
New Mexico 02/23/2006
New York 08/12/1997
North Carolina 03/25/2004
North Dakota 02/23/2006
Ohio 02/23/2006
Oklahoma 03/25/2004
Oregon 02/23/2006
Pennsylvania 01/24/2002
Puerto Rico 02/18/2005
Rhode Island 02/23/2006
South Carolina 04/15/2004
South Dakota 02/23/2006
Tennessee 03/26/2004
Texas 03/25/2004
Utah 02/23/2006
Vermont 02/23/2006
Virginia 03/25/2004
Washington 02/23/2006
West Virginia 02/23/2006
Wisconsin 03/25/2004

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