Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Investment Adviser Firm Summary
WBI INVESTMENTS, LLC ( CRD # 106336/SEC#:801-22873 )
WBI INVESTMENTS, WEALTH BUILDERS INC, WBI INVESTMENTS, LLC, WBI INVESTMENTS, INC., WBI INVESTMENTS INC.
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved3/12/1985
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.

JURISDICTIONEFFECTIVE DATE
Arizona3/23/2006
California3/23/2004
Colorado6/19/2009
Connecticut10/7/2008
Florida4/18/1994
Georgia3/7/2007
Hawaii9/3/2010
Illinois4/7/2011
Indiana10/23/2009
Iowa9/13/2010
Kentucky3/31/2023
Louisiana10/1/2003
Maryland1/3/2009
Massachusetts6/19/2006
Michigan1/14/2008
Minnesota2/25/2010
Missouri1/7/2010
Nebraska10/23/2009
New Hampshire5/17/1995
New Jersey2/27/1992
New York1/6/2003
North Carolina1/6/2003
Ohio12/16/2005
Oklahoma3/31/2023
Oregon1/26/2011
Pennsylvania4/30/2002
South Carolina8/25/2006
Tennessee5/23/2011
Texas9/19/2000
Utah8/30/2012
Virginia6/28/2004
Washington3/28/2011
Wisconsin11/16/2010
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
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.