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Investment Adviser Firm Summary

FINANCIAL SERVICES INTERNATIONAL CORP. (CRD# 37813 / SEC# 8-48032, 801-64354)
Alternate Names: AFG FINANCIAL , ASSURED CONCEPT GROUP , BENICO LTD , BRAD WEBER , CANDY J LEE FINANCIAL PLANNING & MONEY MGMT , CHRYSLER ASSET MANAGEMENT, LLC , EDWIN LANE , EJS WEALTH MANAGEMENT , FINANCIAL SERVICES INTERNATIONAL CORP. , FSIC , FSIC - MATRIX WEALTH MANAGEMENT , GEORGE W. HOOK III FINANCIAL , GREG MEINHARDT , HARBOR FINANCIAL ADVISORS , KIRKLAND FINANCIAL ADVISORS , LEMME INVESTMENT GROUP , O'CONNELL & ATAROD , PLANNING RESOURCES CORPORATION - A FINANCIAL SERVICES COMPANY , PROFESSIONAL BENEFIT SERVICES, INC. , ROBERT W. SCHWARZ , SCS SYSTEMS , SECURITIES, INC , STONEBRIDGE CAPITAL MANAGEMENT , STREETER MOORE AND STIPE

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 06/14/2005
Montana Terminated 12/31/2004
Washington Terminated 06/15/2005

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
Arizona 02/02/2010
Arkansas 10/18/2017
California 02/02/2010
Colorado 06/17/2011
Florida 12/04/2017
Idaho 02/02/2010
Illinois 01/04/2010
Iowa 07/19/2017
Louisiana 05/01/2012
Michigan 02/02/2010
Minnesota 07/31/2017
Montana 02/02/2010
Nebraska 05/01/2012
Nevada 03/14/2018
New York 12/06/2011
North Carolina 05/25/2017
Oregon 02/02/2010
South Carolina 08/09/2017
Tennessee 07/19/2017
Texas 11/27/2007
Washington 06/14/2005

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