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Investment Adviser Firm Summary
CAITLIN JOHN, LLC ( CRD # 154494/SEC#:801-110731 )
A SMARTER WAY TO INVEST, INC, STOCK SENIOR SERVICES, SIMPLY RIA, INC, SCOTT KARL ECONOMIC AND INSURANCE SERVICES, PRIVATE FINANCIAL COUNSEL, 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
SECApproved6/26/2017
CaliforniaTerminated10/1/2017
FloridaTerminated9/1/2017
GeorgiaTerminated9/1/2017
IllinoisTerminated6/26/2017
IndianaTerminated9/1/2017
KentuckyTerminated9/5/2017
MichiganTerminated9/29/2017
New JerseyTerminated9/1/2017
North CarolinaTerminated9/5/2017
PennsylvaniaTerminated9/6/2017
TennesseeTerminated9/5/2017
VirginiaTerminated9/5/2017
WisconsinTerminated9/5/2017
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
California6/21/2022
Colorado12/8/2021
Connecticut7/6/2023
Florida6/26/2017
Georgia3/31/2025
Illinois4/13/2023
Indiana6/26/2017
Louisiana3/31/2025
Maryland12/20/2022
Michigan6/26/2017
New Hampshire3/31/2025
New Jersey12/20/2022
New York6/3/2020
Pennsylvania6/26/2017
Texas6/26/2017
Virginia6/26/2017
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.