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Investment Adviser Firm Summary

FIRST ALLIED SECURITIES, INC. (CRD# 32444 / SEC# 8-46167, 801-47805)
Alternate Names: 4.0 INVESTMENT MANAGEMENT , 401(K) ALLIANCE , A-1 FINANCIAL , A. PORTER ROCKWELL, INC. , A.D.N. WEALTH MANAGEMENT GROUP , ADAMS FINANCIAL SERVICES, P.A. , ADAMS FINANCIAL SERVICES, PA , ADVANCED CORPORATE PLANNING , ADVANCED EQUITIES WEALTH MANAGEMENT PRIVATE CLIENT SERVICES , ADVANCED FINANCIAL SERVICES , ADVANCED WEALTH PLANNING , ADVANCED WEALTH STRATEGIES, LLC , AEQUTIS PRIVATE WEALTH MANAGEMENT , AFG WEALTH MANAGEMENT , AIM GROUP , ALCOSTA CAPITAL MANAGEMENT , ALEXANDER FINANCIAL SERVICES, INC. , ALLIANCE WEALTH MANAGEMENT , ALPHA INVESTMENT SERVICES , AMWELL RIDGE WEALTH MANAGEMENT , ANALYTIC WEALTH STRATEGIES , ANIMAS CAPITAL MANAGEMENT , APEX WEALTH MANAGEMENT , APPLE INVESTMENT MANAGEMENT, LLC , ARCHE WEALTH MANAGEMENT , ARMSTRONG & ASSOCIATES , ASSET PLANNING STRATEGIES , AVEY & GRAVES WEALTH MANAGEMENT , AW WEALTH ADVISORY , BAAM SECURITIES AND WEALTH MANAGEMENT, LLC , BAHARY FINANCIAL GROUP , BAKER & COMPANY ADVISORY GROUP, INC. , BAUER FINANCIAL SERVICES , BAUGHMAN FINANCIAL GROUP , BAUGHMAN WEALTH ADVISORS, INC , BERKELEY WEALTH PROFESSIONALS, PLLC , BH WEALTH MANAGEMENT , BIAGINI GRASSI ADVISORY GROUP, LLC , BIERMAIER & MCMAHON FINANCIAL MANAGEMENT LLC , BIERMAIER FINANCIAL MANAGEMENT , BROOKS FINANCIAL SERVICES , BROOKS INVESTMENT GROUP , BUCCI WEALTH MANAGEMENT, LLC , BULL CHIP , BYERLY WEALTH MANAGEMENT , CADUCEUS CONSULTING , CALIFORNIA RETIREMENT ADVISORS , CAMBRIDGE FINANCIAL GROUP LLC , CAP PARTNERS , CAPITAL ASSET MANAGEMENT , CAPITAL ASSET MONITORING LLC , CAPITAL INVESTMENT MANAGEMENT , CAPITAL ROCK ADVISORS , CAPITOL DEVELOPMENT GROUP , CAPKO CAPITAL MANAGEMENT, LLC , CARD INVESTMENT GROUP , CARLTON MACLACHLAN, LLC , CASSEDY FINANCIAL GROUP, INC. , CATAPULT CAPITAL MANAGEMENT , CAUSEY WEALTH MANAGEMENT , CENTURY FINANCIAL ADVISORS , CHARLES R DUNN INVESTMENT ADVISORS , CHESTNUT INVESTMENT GROUP , CHIP COUGHLIN & CO. , CLOVERLEAF FINANCIAL GROUP , COE FINANCIAL GROUP, INC. , COMPASS FINANCIAL SERVICES, INC. , CONSOLIDATED WEALTH PARTNERS, LLC , COUYOUMJIAN ASSET MANAGEMENT , CRANE INVESTMENTS , CREATIVE CAPITAL WEALTH MANAGEMENT GROUP , CREATIVE WEALTH STRATEGIES , CRESCENT CAPITAL MANAGEMENT, LLC , CROSSWATER , CROWN INVESTMENT SERVICES , D R SUMMIT WEALTH MANAGEMENT , DANIEL E. SUTTON, CFP , DAVE GOTTSCHALK FINANCIAL , DEAMOAKS PLANNING SERVICES , DELTA VENTURES FINANCIAL COUNSEL , DEMOAKS PLANNING SERVICES, LTD , DESIMONE FINANCIAL & INSURANCE SERVICES , DH CAPITAL MANAGEMENT , DIAMOND WEALTH MANAGEMENT , DNH CAPITAL , DPM CORP , DUDURICH INVESTMENT ASSOCIATES , DUVAL CAPITAL , EAGLE MANAGEMENT, INC. , EAGLE WEALTH MANAGEMENT , ED MARTELL & ASSOCIATES , EG WILLIAMS FINANCIAL ADVISORS , ELLISON NOONAN WEALTH MANAGEMENT , ELLISON WEALTH MANAGEMENT , EMPOWERMENT FINANCIAL GROUP, LLC , ESSEX CAPITAL ADVISORS , ETHOS WEALTH MANAGEMENT , EVERETT FINANCIAL GROUP , EVYAVAN ADVISORY SERVICES, LLC , FAMILY WEALTH MANAGEMENT , FARLEY PLANNING GROUP, INC. , FFG FISCH FINANCIAL GROUP , FINANCIAL ADVISORS PLUS, LLC , FINANCIAL ADVISORS SECURITIES CORP. , FINANCIAL ADVISORS SECURITY CORP. , FINANCIAL ADVISORY CORPORATION , FINANCIAL DIRECTIONS GROUP, INC. , FINANCIAL FOUNDATIONS, INC. , FIRST ALLIED , FIRST ALLIED FINANCIAL OF FLORIDA , FIRST ALLIED SECURITIES, INC. , FIRST ALLIED WEALTH MANAGEMENT , FIRST ALLIED WEALTH MANAGEMENT CONSULTING GROUP , FIRST ALLIED WEALTH MANAGEMENT PRIVATE CLIENT SERVICES , FIRST ALLIED WEALTH MANAGEMENT, INC. , FIRST CAPITAL MANAGEMENT & INSURANCE, LLC , FIRST FINANCIAL ADVISORY SERVICES , FORTRESS FINANCIAL STRATEGIES LLC , FOUR COLUMN INVESTMENT SERVICES , FRANK JOINER, INC. , FRCT WEALTH MANAGEMENT GROUP , FRCT, LLC , FRED LA MARCA - INSURANCE AGENT , FREEDOM WEALTH MANAGEMENT , FULL CIRCLE INVESTMENT ADVISORS , GALLAGHER FINANCIAL GROUP, LLC , GARMAN INVESTMENT GROUP , GEMINI WEALTH ADVISORS , GENERATIONAL WEALTH MANAGEMENT , GENWEALTH , GILBERT CAPITAL MANAGEMENT , GLOBAL INVESTMENT ADVISORS, INC. , GLOBAL WEALTH PARTNERS , GOLDEN HILLS CAPITAL, LLC , GORDON H. DICKINSON & CO. , GREENBOOK FINANCIAL SERVICES , GREENSIDE FINANCIAL, LTD , GREENVILLE FINANCIAL GROUP, LLC , GUIDANT PLANNING, INC...

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 12/01/1994

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 12/14/2000
Alaska 07/11/1996
Arizona 04/12/2002
Arkansas 01/31/1996
California 07/08/1997
Colorado 01/01/1999
Connecticut 12/24/1997
Delaware 07/02/2003
District of Columbia 02/01/2000
Florida 11/22/1994
Georgia 01/02/1996
Hawaii 03/22/1996
Idaho 01/30/1996
Illinois 12/07/1994
Indiana 11/08/2000
Iowa 01/01/1999
Kansas 12/24/1997
Kentucky 08/11/1999
Louisiana 10/05/2001
Maine 08/16/1996
Maryland 11/06/1996
Massachusetts 04/12/2002
Michigan 11/05/1997
Minnesota 12/12/1996
Mississippi 12/16/1997
Missouri 11/19/1997
Montana 01/02/1998
Nebraska 11/19/1997
Nevada 11/01/1995
New Hampshire 10/14/1996
New Jersey 04/18/1996
New Mexico 04/09/1996
New York 11/08/1995
North Carolina 11/02/2000
North Dakota 02/04/2008
Ohio 03/23/1999
Oklahoma 01/01/1998
Oregon 12/30/1997
Pennsylvania 09/09/1994
Rhode Island 04/15/1996
South Carolina 05/15/1996
South Dakota 06/03/1996
Tennessee 01/01/1998
Texas 05/06/1994
Utah 07/18/1996
Vermont 01/17/1996
Virginia 04/18/1996
Washington 01/10/1995
West Virginia 07/26/1996
Wisconsin 06/20/1996

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