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Investment Adviser Firm Summary
UNITED CAPITAL FINANCIAL ADVISORS ( CRD # 134600/SEC#:801-64376 )
FINLIFE PARTNERS, UNITED CAPITAL WEALTH, UNITED CAPITAL RETIREMENT ADVISERS, UNITED CAPITAL PRIVATE WEALTH COUNSELING, UNITED CAPITAL FINANCIAL LIFE MANAGEMENT…
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
SECApproved6/9/2005
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
Alabama11/23/2020
Alaska11/23/2020
Arizona11/23/2020
Arkansas11/23/2020
California11/23/2020
Colorado11/23/2020
Connecticut11/23/2020
Delaware11/23/2020
District of Columbia11/23/2020
Florida11/23/2020
Georgia11/23/2020
Hawaii11/23/2020
Idaho11/23/2020
Illinois11/23/2020
Indiana11/23/2020
Iowa11/23/2020
Kansas11/23/2020
Kentucky11/23/2020
Louisiana11/23/2020
Maine11/23/2020
Maryland11/23/2020
Massachusetts11/23/2020
Michigan11/23/2020
Minnesota11/23/2020
Mississippi11/23/2020
Missouri11/23/2020
Montana11/23/2020
Nebraska11/23/2020
Nevada11/1/2005
New Hampshire11/23/2020
New Jersey11/23/2020
New Mexico11/23/2020
New York11/23/2020
North Carolina11/23/2020
North Dakota11/23/2020
Ohio6/15/2006
Oklahoma11/23/2020
Oregon11/23/2020
Pennsylvania10/20/2005
Puerto Rico11/23/2020
Rhode Island11/23/2020
South Carolina11/23/2020
South Dakota11/23/2020
Tennessee11/23/2020
Texas11/23/2020
Utah11/23/2020
Vermont11/23/2020
Virgin Islands11/23/2020
Virginia11/23/2020
Washington11/23/2020
West Virginia11/23/2020
Wisconsin11/23/2020
Wyoming11/23/2020
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
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.