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Investment Adviser Firm Summary

UNITED SECURITIES ALLIANCE, INC. (CRD# 36487 / SEC# 8-47282 )
Alternate Names: UNITED SECURITIES ALLIANCE, 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 11/05/2010)
This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Terminated 12/31/2010
Arizona Terminated 11/27/2002
Arkansas Terminated 02/06/2003
California Terminated 02/06/2003
Colorado Terminated 02/06/2003
Connecticut Terminated 10/21/2002
Delaware Terminated 02/06/2003
Florida Terminated 02/06/2003
Illinois Terminated 02/14/2003
Indiana Terminated 02/13/2003
Louisiana Terminated 02/06/2003
Maine Terminated 02/10/2003
Maryland Terminated 02/11/2003
Massachusetts Terminated 02/07/2003
Michigan Terminated 10/21/2002
Minnesota Terminated 02/04/2002
Nevada Terminated 02/06/2003
New Hampshire Terminated 11/06/2002
Ohio Terminated 02/06/2003
Rhode Island Terminated 02/12/2003
South Dakota Terminated 10/23/2002
Texas Terminated 01/31/2003
Utah Terminated 02/10/2003
Vermont Terminated 11/15/2002
Virginia Terminated 02/07/2003
Washington Cancelled 10/22/2002
Wisconsin Terminated 02/06/2003

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