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
HBKS WEALTH ADVISORS ( CRD # 112139/SEC#:801-60424 )
HBK ADVISORY SERVICES LLC, PRESQUE ISLE CAPITAL MANAGEMENT, LEVEL 3, HBKS WEALTH ADVISORS, HBK SORCE FINANCIAL LLC…
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
SECApproved7/19/2001
OhioTerminated11/28/2000
PennsylvaniaTerminated10/29/2001
WyomingTerminated11/9/2017
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
Arizona12/12/2007
California12/3/2003
Colorado2/5/2004
Delaware3/31/2009
Florida2/1/2001
Georgia5/7/2004
Illinois12/20/2007
Indiana12/5/2013
Kentucky7/20/2012
Louisiana6/13/2011
Maine11/5/2010
Maryland10/18/2004
Massachusetts7/19/2001
Michigan3/17/2008
Nebraska3/9/2011
New Hampshire4/4/2006
New Jersey3/10/2005
New Mexico11/9/2012
New York1/14/2003
North Carolina2/5/2004
Ohio11/28/2000
Oregon3/9/2011
Pennsylvania3/23/2001
South Carolina9/15/2006
Tennessee5/1/2012
Texas8/7/2001
Vermont4/4/2006
Virginia7/19/2001
Washington3/24/2009
Wyoming11/9/2017
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
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.