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Investment Adviser Firm Summary

COOPER FINANCIAL GROUP (CRD# 111458 / SEC# 801-61944)

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/07/2003
California Terminated 04/09/2003

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 09/08/2003
California 01/25/2000
Colorado 06/16/2010
Florida 09/24/2007
Hawaii 11/02/2009
Idaho 12/11/2013
Illinois 12/03/2008
Indiana 11/20/2015
Maryland 12/11/2013
Massachusetts 11/13/2014
Michigan 11/20/2015
Minnesota 01/10/2017
Nebraska 03/27/2006
Nevada 09/21/2007
New Hampshire 03/31/2014
New Jersey 10/13/2015
New Mexico 12/20/2013
North Carolina 10/24/2014
Oregon 09/21/2007
Texas 09/07/2006
Utah 06/10/2009
Virginia 11/20/2015
Washington 09/08/2003
Wisconsin 10/01/2015

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