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Investment Adviser Firm Summary

PENSIONMARK FINANCIAL GROUP, LLC (CRD# 208512 / SEC# 801-96193)
Alternate Names: ASCENSION , ASSET STRATEGY ADVISORS , ASSET STRATEGY CONSULTANTS, LLC , ASSET STRATEGY PENSIONMARK , ASSURE FINANCIAL SERVICES , ASSURED PARTNERS COLORADO , AXIOS ADVISORY GROUP, LTD. , BENEFITMARK , CALIFORNIA CORPORATE BENEFITS INSURANCE SERVICES , CALIFORNIA CORPORATE RETIREMENT SERVICES , CLOUDBREAK FINANCIAL , COTA ST. INVESTMENT MANAGEMENT , COTA STREET ASSET MANAGEMENT , COTA STREET INVESTMENT MANAGEMENT , DCS PENSIONMARK RETIREMENT GROUP , ECM GROUP, LLC , HAWAII WESTERN INVESTMENT SERVICES , KAINOS PARTNERS , KAINOS PARTNERS, A PENSIONMARK RETIREMENT FIRM , L.R. WEBBER ASSOCIATES, INC. , MBI INVESTMENT ADVISORS , MBI WEALTH MANAGEMENT , MERIDIEN BENEFITS, INC. , MERIDIEN FINANCIAL GROUP, INC. , PENSIONMARK FINANCIAL ADVISORS , PENSIONMARK FINANCIAL GROUP, LLC , PENSIONMARK INVESTMENT ADVISORS , PENSIONMARK RETIREMENT ADVISORS , PENSIONMARK RETIREMENT GROUP , PENSIONMARK WEALTH ADVISORS , PENSIONMARK WEALTH MANAGEMENT , PFG INVESTMENT ADVISORS , QUANTUM FINANCIAL CONSULTANTS , REDSTONE ADVISORS, LLC , REDWOOD FINANCIAL, LLC , ROGERS FINANCIAL GROUP, INC. , SEQUOIA CONSULTING GROUP , SEVEN HILLS, A PENSIONMARK RETIREMENT FIRM , SEVENHILLS BENEFIT PARTNERS , SEVENHILLS PARTNERS, INC. , SYNERGY FINANCIAL SERVICES , T(K)G PENSIONMARK , THE HOGAN FINANCIAL GROUP , THE WRIGHT GROUP , TUTTON FINANCIAL , TUTTON INSURANCE , VALTREND, LLC , WD PENSIONMARK , WEALTHPATH INVESTMENT ADVISORS, LLC , WRIGHT CONSULTING PARTNERS, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/06/2015

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
Alabama 02/14/2018
Arizona 06/02/2015
Arkansas 07/01/2015
California 05/06/2015
Colorado 07/20/2015
Connecticut 06/28/2016
Delaware 02/14/2018
District of Columbia 03/23/2017
Florida 05/06/2015
Georgia 06/26/2015
Hawaii 05/21/2015
Idaho 06/02/2015
Illinois 11/01/2016
Indiana 06/30/2015
Kansas 05/14/2018
Kentucky 11/01/2016
Louisiana 10/04/2016
Maine 06/13/2016
Maryland 09/09/2015
Massachusetts 09/01/2016
Michigan 02/14/2018
Minnesota 05/29/2015
Mississippi 02/14/2018
Missouri 07/01/2015
Montana 06/02/2015
Nevada 02/10/2016
New Jersey 05/13/2016
New York 05/05/2016
North Carolina 09/02/2016
Ohio 05/06/2015
Oklahoma 07/08/2015
Oregon 02/14/2018
Pennsylvania 08/21/2015
Rhode Island 08/30/2016
South Carolina 02/14/2018
Tennessee 05/25/2016
Texas 05/29/2015
Utah 10/06/2015
Virginia 06/01/2015
Washington 02/14/2018
West Virginia 05/14/2018
Wisconsin 02/14/2018
Wyoming 02/14/2018

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