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Investment Adviser Firm Summary
ADVOCACY WEALTH MANAGEMENT, LLC ( CRD # 141943/SEC#:801-77677 )
ADVOCACY WEALTH MANAGEMENT SERVICES, LLC, MONTAG & CALDWELL, AN ADVOCACY WEALTH COMPANY, GREY INVESTMENT ADVISORS, ADVOCACY WEALTH MANAGEMENT, 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
SECApproved3/1/2013
AlabamaTerminated3/4/2013
ArkansasTerminated12/31/2012
GeorgiaTerminated3/4/2013
LouisianaTerminated3/11/2013
MississippiTerminated4/23/2013
New YorkTerminated12/31/2012
PennsylvaniaTerminated3/6/2013
South CarolinaTerminated3/4/2013
South DakotaTerminated3/4/2013
TennesseeTerminated4/3/2013
TexasTerminated12/31/2012
West VirginiaTerminated3/12/2013
WisconsinTerminated3/1/2013
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
Alabama3/1/2013
Arkansas3/1/2013
California1/21/2022
Colorado1/21/2022
Connecticut3/1/2013
Florida3/1/2013
Georgia3/1/2013
Hawaii3/1/2013
Illinois1/8/2020
Indiana11/6/2024
Kansas11/6/2024
Kentucky1/3/2017
Louisiana3/1/2013
Massachusetts6/12/2013
Michigan3/25/2025
Minnesota1/2/2018
Mississippi3/1/2013
Missouri1/16/2024
New Jersey2/2/2022
New York3/1/2013
North Carolina3/1/2013
Ohio3/20/2013
Pennsylvania3/1/2013
South Carolina3/1/2013
Tennessee3/1/2013
Texas3/19/2013
Utah9/22/2016
Virginia5/13/2013
West Virginia3/1/2013
Wisconsin3/1/2013
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.