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Investment Adviser Firm Summary

COMMONWEALTH EQUITY SERVICES, LLC (CRD# 8032 / SEC# 8-24040, 801-41541)
Alternate Names: COMMONWEALTH EQUITY SERVICES, INC. , COMMONWEALTH EQUITY SERVICES, LLC , COMMONWEALTH EQUITY SERVICES, LLP , COMMONWEALTH FINANCIAL NETWORK

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 06/11/1992

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 09/20/1993
Alaska 01/02/1996
Arizona 10/17/1995
Arkansas 09/15/1995
California 07/08/1997
Colorado 01/01/1999
Connecticut 02/27/2001
Delaware 06/27/2002
District of Columbia 11/11/1994
Florida 08/28/1995
Georgia 02/27/2001
Hawaii 06/22/1995
Idaho 01/01/1996
Illinois 03/31/1999
Indiana 02/13/2001
Iowa 01/01/1999
Kansas 03/02/1998
Kentucky 02/27/2001
Louisiana 02/27/2001
Maine 11/03/1994
Maryland 07/02/1993
Massachusetts 04/14/1994
Michigan 12/01/1997
Minnesota 02/27/2001
Mississippi 12/02/1997
Missouri 04/06/1998
Montana 12/01/1997
Nebraska 12/05/2001
Nevada 09/22/1995
New Hampshire 01/11/1995
New Jersey 07/20/1994
New Mexico 09/07/1995
New York 08/09/1993
North Carolina 02/27/2001
North Dakota 01/26/2000
Ohio 05/07/1999
Oklahoma 01/01/1998
Oregon 01/11/2001
Pennsylvania 06/11/1992
Puerto Rico 07/16/2001
Rhode Island 02/23/1994
South Carolina 01/11/2001
South Dakota 07/21/1995
Tennessee 01/19/1999
Texas 03/08/1984
Utah 09/29/1995
Vermont 11/10/1994
Virgin Islands 11/06/2007
Virginia 10/18/1994
Washington 12/01/1994
West Virginia 07/11/1995
Wisconsin 10/17/1995
Wyoming 07/06/2017

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