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Investment Adviser Firm Summary
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER ( CRD # 20804/SEC#:801-57198,8-38485 )
BROOKHAVEN WEALTH MANAGEMENT INC., YEECORP FINANCIAL, WIRE TO WIRE WEALTH, WENDEL FINANCIAL GROUP, WEALTH AVENUE…
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

This adviser is also a brokerage firm
REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved1/28/2000
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
Alabama1/9/2002
Alaska2/10/2005
Arizona5/23/2005
Arkansas1/26/2007
California3/1/2000
Colorado1/2/2002
Connecticut11/8/2006
Delaware8/27/2003
District of Columbia1/24/2007
Florida2/10/1995
Georgia1/9/2002
Hawaii6/18/2003
Idaho5/23/2005
Illinois8/26/1998
Indiana5/13/1996
Iowa1/25/2007
Kansas2/10/2005
Kentucky3/3/2003
Louisiana1/6/2003
Maine3/6/1996
Maryland3/9/2000
Massachusetts1/19/2006
Michigan2/8/2002
Minnesota1/3/1995
Mississippi1/24/2007
Missouri8/25/2003
Montana5/23/2005
Nebraska11/16/2006
Nevada4/6/2000
New Hampshire12/7/2006
New Jersey6/27/2002
New Mexico6/26/2001
New York7/6/2001
North Carolina1/9/2002
North Dakota1/24/2007
Ohio3/23/2000
Oklahoma1/6/2003
Oregon7/11/2001
Pennsylvania11/21/2002
Rhode Island3/6/2000
South Carolina3/23/2001
South Dakota7/19/2000
Tennessee1/1/2001
Texas4/19/1988
Utah2/22/2000
Vermont1/24/2007
Virgin Islands3/30/2016
Virginia8/21/2001
Washington3/1/2000
West Virginia5/23/2005
Wisconsin5/10/2001
Wyoming3/29/2019
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.