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Investment Adviser Firm Summary

UNITED BROKERAGE SERVICES, INC (CRD# 39062 / SEC# 8-48685, 801-80804)
Alternate Names: UNITED BROKERAGE SERVICES INC , UNITED BROKERAGE SERVICES, INC , UNITED INSURANCE & BROKERAGE SERVICES

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 01/09/2015
District of Columbia Terminated 01/20/2015
Kentucky Terminated 01/20/2015
Maryland Terminated 02/26/2015
New Jersey Terminated 01/30/2015
Ohio Terminated 01/20/2015
Pennsylvania Terminated 01/22/2015
Texas Terminated 01/20/2015
Virginia Terminated 01/21/2015
West Virginia Terminated 01/20/2015

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 09/09/2016
District of Columbia 01/20/2015
Florida 01/20/2015
Hawaii 06/13/2016
Kentucky 01/20/2015
Maryland 01/20/2015
New Jersey 01/30/2015
New York 01/20/2015
North Carolina 08/08/2016
Ohio 01/20/2015
Pennsylvania 01/20/2015
South Carolina 06/29/2016
Texas 01/20/2015
Virginia 01/20/2015
West Virginia 01/20/2015

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