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Investment Adviser Firm Summary
NFP RETIREMENT INC. ( CRD # 121254/SEC#:801-66107 )
401 (K) ADVISORS, SST BENEFITS AND CONSULTING SERVICES LLC, NFP RETIREMENT INC., NFP RETIREMENT, FIDUCIARYPATH…
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
SECApproved1/31/2006
CaliforniaTerminated2/9/2006
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
Alabama8/22/2011
Alaska9/27/2023
Arizona11/21/2016
Arkansas11/29/2023
California3/5/2003
Colorado2/8/2016
Connecticut9/27/2023
Delaware1/20/2023
District of Columbia8/13/2020
Florida5/10/2013
Georgia5/9/2013
Hawaii9/27/2023
Idaho2/8/2016
Illinois5/4/2012
Indiana3/30/2022
Iowa2/8/2016
Kansas9/27/2023
Kentucky3/4/2013
Louisiana12/5/2014
Maine3/30/2022
Maryland8/13/2020
Massachusetts3/4/2013
Michigan8/8/2014
Minnesota5/9/2016
Mississippi11/29/2023
Missouri5/10/2023
Montana3/30/2022
Nebraska3/30/2022
Nevada9/27/2023
New Hampshire11/29/2023
New Jersey1/20/2023
New Mexico8/15/2022
New York3/30/2022
North Carolina9/17/2021
North Dakota3/7/2023
Ohio12/3/2020
Oklahoma6/29/2023
Oregon3/6/2017
Pennsylvania1/2/2008
Puerto Rico9/23/2020
Rhode Island8/22/2023
South Carolina9/17/2021
South Dakota9/27/2023
Tennessee3/30/2022
Texas7/14/2011
Utah7/28/2022
Vermont11/29/2023
Virginia2/8/2016
Washington9/11/2023
West Virginia1/20/2023
Wisconsin6/14/2019
Wyoming8/13/2020
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
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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.