Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Investment Adviser Firm Summary
CONTINUUM ADVISORY, LLC ( CRD # 283155/SEC#:801-107439 )
3 FINANCIAL GROUP, WEALTH MANAGEMENT ASSOCIATES OF COLORADO, WEALTH MANAGEMENT ASSOCIATES, TRANSITIONAL WEALTH STRATEGIES, THOMANN 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
SECApproved3/30/2016
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
Arizona4/4/2016
Arkansas12/20/2017
California4/4/2016
Colorado8/5/2016
Connecticut12/2/2021
Delaware3/31/2020
District of Columbia3/31/2020
Florida12/20/2017
Georgia3/31/2020
Hawaii3/31/2017
Idaho12/20/2017
Illinois12/20/2017
Iowa12/13/2022
Kansas12/20/2017
Louisiana3/30/2023
Maryland4/4/2016
Massachusetts12/20/2017
Michigan2/8/2018
Minnesota9/12/2023
Missouri3/31/2017
Montana3/30/2022
Nevada4/4/2016
New Hampshire4/4/2016
New Jersey4/13/2020
New Mexico3/31/2020
New York3/31/2018
North Carolina3/31/2020
Ohio3/31/2018
Oregon4/4/2016
Pennsylvania4/4/2016
South Carolina3/31/2018
Tennessee12/2/2021
Texas4/4/2016
Utah3/31/2018
Vermont3/31/2017
Virginia3/31/2017
Washington4/4/2016
Wisconsin9/12/2023
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.