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Investment Adviser Firm Summary

PRIME CAPITAL INVESTMENT ADVISORS, LLC (CRD# 288712 / SEC# 801-110709)
Alternate Names: PRIME CAPITAL INVESTMENT ADVISORS, LLC , QUALIFIED PLAN ADVISORS

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 06/23/2017

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 11/08/2018
Arizona 11/09/2017
Arkansas 07/26/2017
California 07/26/2017
Colorado 07/26/2017
Florida 07/26/2017
Georgia 07/26/2017
Illinois 07/31/2017
Indiana 04/24/2018
Iowa 07/26/2017
Kansas 06/23/2017
Kentucky 07/26/2017
Louisiana 07/26/2017
Massachusetts 07/26/2017
Michigan 07/26/2017
Minnesota 07/26/2017
Missouri 07/26/2017
Nebraska 07/26/2017
Nevada 11/08/2018
New Hampshire 11/08/2018
New Jersey 11/08/2018
New Mexico 07/26/2017
North Carolina 08/08/2018
Ohio 07/26/2017
Oklahoma 07/26/2017
Pennsylvania 08/08/2018
South Carolina 04/24/2018
South Dakota 11/08/2018
Tennessee 07/26/2017
Texas 07/26/2017
Virginia 07/26/2017
Wisconsin 07/26/2017

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