at


Investment Adviser Firm Summary

CUE ADVISORY SERVICES, INC. (CRD# 21033 / SEC# 8-38647, 801-66538)
Alternate Names: BATIE & CO CAPITAL MGMT LLC , CORNERSTONE ASSET MANAGEMENT , CUE , CUE ADVISORY SERVICES, INC. , CUE FINANCIAL GROUP, INC. , CUE SECURITIES, INC. , CUSO EQUITIES, INC. , LBW INSURANCE & FINANCIAL SERVICES , SCOTT HANISH LLC , TURNING POINTE WEALTH MANAGEMENT , WEALTH MANAGEMENT GROUP

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 05/19/2006
Arizona Terminated 05/26/2006
California Terminated 05/26/2006
Colorado Terminated 06/23/2006
Oklahoma Terminated 05/26/2006
Texas Terminated 05/26/2006
Washington Terminated 05/26/2006

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 05/19/2006
California 12/07/2001
Colorado 05/19/2006
Illinois 02/17/2011
Louisiana 10/13/2016
Massachusetts 09/28/2017
Michigan 02/17/2011
Montana 05/25/2016
Nebraska 02/25/2015
Nevada 09/21/2012
New Hampshire 02/07/2018
New Mexico 06/18/2008
New York 11/06/2015
North Carolina 06/05/2012
Oregon 07/13/2007
Pennsylvania 02/26/2010
Tennessee 09/21/2012
Texas 05/19/2006
Utah 12/01/2006
Virginia 06/04/2014
Washington 05/19/2006

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