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Investment Adviser Firm Summary

BCG SECURITIES, INC. (CRD# 70 / SEC# 8-12680, 801-56943)
Alternate Names: AC CAPITAL MANAGEMENT , ASPEN WEALTH MANAGEMENT , BALANCED SECURITY PROGRAMS, INC. , BCG SECURITIES, INC. , BCG WEALTH MANAGEMENT , FREDERICA WEALTH MANAGEMENT , GREY CLIFF WEALTH MANAGEMENT , HADDON PLANNING GROUP , PINNACLE PEAK PRIVATE CLIENT GROUP , POWERS WEALTH MANAGEMENT , ROCHONCHOU WEALTH MANAGEMENT , THE KIRWAN COMPANIES, LTD , WEALTH ADVISORY GROUP , WHITE CLIFF WEALTH MANAGEMENT

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 11/04/1999

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 12/04/2014
Arizona 12/13/2016
California 06/25/2014
Colorado 08/29/2012
Connecticut 05/19/2014
Delaware 04/23/2012
District of Columbia 08/28/2012
Florida 04/23/2012
Georgia 11/19/2012
Illinois 08/30/2017
Iowa 09/12/2013
Kentucky 12/02/2011
Maryland 05/24/2012
Massachusetts 08/12/2004
Michigan 01/12/2015
Mississippi 02/11/2015
Missouri 09/23/2015
Nebraska 06/11/2014
New Hampshire 11/19/2015
New Jersey 04/07/2003
New Mexico 07/26/2013
New York 07/30/2004
North Carolina 04/18/2012
Ohio 03/08/2012
Oregon 06/08/2017
Pennsylvania 03/21/2001
South Carolina 04/24/2012
Tennessee 07/31/2013
Texas 03/26/2004
Vermont 08/14/2017
Virginia 11/19/2008
Washington 06/15/2015
West Virginia 10/23/2015
Wisconsin 05/17/2012

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