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Investment Adviser Firm Summary
MOLONEY SECURITIES ASSET MANAGEMENT LLC ( CRD # 282448/SEC#:801-107149 )
ADVANCED FINANCIAL SOLUTIONS LLC, WESTPORT ADVISORY GROUP, LLC, WARREN FINANCIAL SERVICES, VANCE CAPITAL MANAGEMENT, LLC, TEAM DUNCAN FINANCIAL…
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
SECApproved12/31/2015
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
Alabama3/7/2017
Alaska5/20/2016
Arizona12/31/2015
Arkansas5/16/2017
California12/9/2016
Colorado12/31/2015
Connecticut3/13/2024
Delaware3/13/2024
District of Columbia3/13/2024
Florida1/6/2016
Georgia12/9/2016
Hawaii12/9/2016
Idaho12/31/2015
Illinois2/22/2016
Indiana12/15/2016
Iowa12/31/2015
Kansas12/8/2016
Kentucky12/9/2016
Louisiana10/27/2017
Maine5/19/2016
Maryland12/9/2016
Massachusetts12/9/2016
Michigan12/9/2016
Minnesota12/31/2015
Mississippi3/13/2024
Missouri12/31/2015
Montana12/15/2016
Nebraska12/9/2016
Nevada12/9/2016
New Hampshire12/9/2016
New Jersey12/21/2016
New Mexico12/9/2016
New York12/9/2016
North Carolina12/9/2016
North Dakota12/9/2016
Ohio12/31/2015
Oklahoma8/29/2019
Oregon12/9/2016
Pennsylvania8/29/2019
Rhode Island5/20/2016
South Carolina6/21/2016
South Dakota10/23/2019
Tennessee6/28/2016
Texas12/31/2015
Utah5/20/2016
Vermont3/13/2024
Virginia12/31/2015
Washington12/31/2015
Wisconsin12/31/2015
Wyoming3/13/2024
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.