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Investment Adviser Firm Summary

SUNSET FINANCIAL SERVICES, INC. (CRD# 3538 / SEC# 8-14148 )
Alternate Names: CHRISTOPHER HELLER , DWAYNE KONICEK , JEFFREY GUNDERSON , KARIN RETTGER , MICHAEL WALSH , ROBERT MAKINEY , SUNSET 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 09/28/2015)
This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Terminated 11/24/2015
Alabama Terminated 07/27/2010
Arizona Terminated 07/27/2010
California Terminated 07/27/2010
Colorado Terminated 07/30/2010
Florida Terminated 07/27/2010
Georgia Terminated 09/24/2010
Idaho Terminated 07/29/2010
Illinois Terminated 07/22/2010
Indiana Terminated 10/04/2007
Iowa Terminated 07/27/2010
Kansas Terminated 07/27/2010
Kentucky Terminated 07/27/2010
Louisiana Terminated 07/27/2010
Maine Terminated 08/05/2010
Maryland Terminated 09/22/2010
Minnesota Terminated 07/28/2010
Missouri Terminated 11/24/2015
Montana Terminated 07/27/2010
Nebraska Terminated 07/27/2010
Nevada Terminated 08/20/2010
New Hampshire Terminated 07/27/2010
New Mexico Terminated 07/27/2010
North Carolina Terminated 07/27/2010
Ohio Terminated 07/27/2010
Oklahoma Terminated 07/29/2010
Oregon Terminated 07/27/2010
Rhode Island Terminated 07/27/2010
South Carolina Terminated 07/27/2010
Tennessee Terminated 08/26/2010
Texas Terminated 07/27/2010
Utah Terminated 08/26/2010
Virginia Terminated 07/27/2010
Washington Terminated 08/03/2010
Wisconsin Terminated 07/27/2010

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