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Investment Adviser Firm Summary
THE PATRIOT FINANCIAL GROUP, LLC ( CRD # 172470/SEC#:801-80245 )
603 FINANCIAL ADVISORS, LLC, YAI AND CO. FINANCIAL SERVICES, WAYPOINT WEALTH MANAGEMENT, VISPER WEALTH MANAGEMENT, LLC, UNIFIED LEGACY ADVISORS…
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
SECApproved9/9/2014
Rhode IslandTerminated7/23/2015
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
Alabama3/31/2023
Arizona11/11/2020
California12/13/2016
Colorado3/31/2023
Connecticut9/9/2014
District of Columbia3/18/2025
Florida12/13/2016
Georgia3/31/2023
Iowa3/31/2023
Louisiana7/23/2015
Maine9/9/2014
Maryland12/13/2016
Massachusetts9/9/2014
Michigan1/11/2021
Nebraska2/1/2019
Nevada12/13/2016
New Hampshire9/9/2014
New Jersey12/20/2016
New Mexico3/30/2022
New York12/13/2016
North Carolina3/25/2020
Ohio11/11/2020
Oregon3/31/2023
Pennsylvania11/11/2020
Rhode Island9/9/2014
South Carolina1/24/2019
Tennessee3/31/2023
Texas9/9/2014
Vermont6/26/2019
Virginia2/15/2017
Washington3/30/2022
Wisconsin11/11/2021
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.