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Investment Adviser Firm Summary

NATIONS FINANCIAL GROUP, INC. (CRD# 44181 / SEC# 8-50588, 801-57407)
Alternate Names: FRONTIER INVESTMENT SERVICES , NATIONAL BROKERAGE SERVICES, INC. , NATIONS FINANCIAL GROUP, 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 05/03/2000

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 03/02/2012
Arkansas 03/02/2012
California 09/01/2004
Colorado 11/20/2000
Florida 06/14/2005
Idaho 03/19/2007
Illinois 08/14/1998
Indiana 12/14/2015
Iowa 07/13/2000
Kansas 05/28/2003
Kentucky 04/28/2006
Maryland 03/02/2012
Michigan 03/28/2016
Minnesota 01/26/2005
Missouri 04/30/2001
Nebraska 02/01/2008
Nevada 02/28/2017
New Jersey 11/07/2007
New Mexico 04/23/2013
New York 12/14/2015
North Carolina 11/02/2012
Ohio 03/28/2016
Oklahoma 02/28/2017
Oregon 12/06/2005
Pennsylvania 12/14/2015
Texas 06/06/1998
Virginia 09/05/2000
Washington 12/06/2005
Wisconsin 08/19/2003

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