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Investment Adviser Firm Summary
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT ( CRD # 151298/SEC#:801-71546 )
4:8 FINANCIAL, WILLAMETTE WEALTH MANAGEMENT, WHITE PINE WEALTH MANAGEMENT, WEALTH MANAGEMENT SOLUTIONS, WASATCH PEAKS FINANCIAL SERVICES…
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
SECApproved6/15/2010
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
Alabama9/29/2017
Alaska11/10/2010
Arizona6/4/2014
Arkansas8/30/2019
California12/23/2010
Colorado8/30/2011
Connecticut1/6/2020
Florida9/25/2015
Georgia9/2/2016
Hawaii9/25/2015
Idaho3/24/2011
Illinois8/30/2011
Indiana9/27/2018
Iowa1/5/2023
Kansas9/27/2018
Kentucky9/27/2018
Louisiana1/23/2017
Maine11/16/2012
Maryland8/31/2016
Massachusetts9/27/2018
Michigan9/29/2017
Minnesota9/25/2015
Mississippi11/16/2012
Missouri9/27/2018
Montana9/25/2015
Nebraska5/24/2017
Nevada1/3/2014
New Hampshire3/26/2015
New Jersey10/26/2015
New Mexico9/2/2016
New York2/27/2013
North Carolina10/8/2015
North Dakota1/23/2017
Ohio9/25/2015
Oklahoma9/2/2016
Oregon6/15/2010
Pennsylvania9/29/2017
Rhode Island1/21/2021
South Carolina9/27/2018
South Dakota9/27/2017
Tennessee9/27/2018
Texas8/30/2011
Utah11/18/2014
Vermont1/5/2023
Virginia9/29/2017
Washington6/15/2010
Wisconsin9/27/2018
Wyoming9/27/2017
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
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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.