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Investment Adviser Firm Summary

CAPWEST SECURITIES, INC. (CRD# 30002 / SEC# 8-44462)
Alternate Names: CAPWEST SECURITIES, INC. , RIVERFRONT FINANCIAL SERVICES, INC.


The investment adviser you have selected is NOT currently registered and is NOT filing reports with the SEC or any state.

(Last Form ADV Filed On 07/01/2011)
This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
Alaska Terminated 07/19/2011
Arizona Terminated 08/31/2011
California Terminated 09/30/2011
Colorado Terminated 11/23/2011
Florida Terminated 08/31/2011
Louisiana Terminated 09/30/2011
Massachusetts Terminated 07/27/2011
Nevada Terminated 08/19/2011
New Hampshire Terminated 07/19/2011
New Jersey Terminated 07/19/2011
New Mexico Terminated 08/31/2011
New York Terminated 07/19/2011
Oklahoma Terminated 09/06/2011
Oregon Terminated 07/19/2011
Pennsylvania Terminated 09/27/2011
South Dakota Terminated 07/19/2011
Texas Terminated 07/19/2011
Virginia Terminated 12/31/2011
Washington Terminated 08/31/2011

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.


Not Currently Notice Filed


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