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Investment Adviser Firm Summary

ST. BERNARD FINANCIAL SERVICES, INC. (CRD# 36956 / SEC# 8-47566, 801-113763)
Alternate Names: BANKS AND BROWN FINANCIALADVISORS , INTEGRATED FINANCIAL SOLUTIONS OF KANSAS CITY , KESSLER AND TURNER , PULLEN FINANCIAL , SOUTH TEXAS WEALTH , ST BERNARD FINANCIAL SERVICES, INC. , ST. BERNARD FINANCIAL SERVICES, 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 07/31/2018
Arkansas Termination Requested 08/02/2018
Connecticut Termination Requested 08/02/2018
Florida Terminated 08/02/2018
Illinois Terminated 07/31/2018
Indiana Terminated 08/03/2018
Louisiana Terminated 08/02/2018
Minnesota Terminated 08/02/2018
Missouri Terminated 08/02/2018
New York Terminated 08/02/2018
North Carolina Terminated 08/03/2018
Oklahoma Termination Requested 08/02/2018
Texas Terminated 08/02/2018
Virginia Terminated 08/02/2018
Washington Terminated 08/09/2018

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
Arkansas 07/31/2018
California 07/31/2018
Colorado 07/31/2018
Connecticut 07/31/2018
Florida 07/31/2018
Georgia 08/01/2018
Illinois 07/31/2018
Kansas 07/31/2018
Louisiana 07/31/2018
Massachusetts 07/31/2018
Michigan 08/01/2018
Missouri 07/31/2018
North Carolina 07/31/2018
Oklahoma 07/31/2018
Rhode Island 07/31/2018
Tennessee 08/01/2018
Texas 07/31/2018
Virginia 07/31/2018
Washington 07/31/2018

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