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Investment Adviser Firm Summary
INFINITY FINANCIAL SERVICES ADVISORY ( CRD # 304981/SEC#:801-117719 )
FERRIER FINANCIAL, TRI VALLEY WEALTH MANAGEMENT, STERLING FIRST FINANCIAL, SMITH FINANCIAL GROUP, SILVERLIGHT 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
SECApproved12/5/2019
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
Alabama4/15/2020
Arizona3/9/2020
Arkansas4/15/2020
California12/11/2019
Colorado2/26/2020
Connecticut2/26/2020
Delaware4/15/2020
District of Columbia4/15/2020
Florida2/26/2020
Georgia4/15/2020
Hawaii2/26/2020
Idaho3/9/2020
Illinois4/21/2020
Indiana4/15/2020
Iowa4/15/2020
Kansas4/15/2020
Kentucky4/15/2020
Louisiana2/26/2020
Maine1/6/2020
Maryland4/15/2020
Massachusetts2/26/2020
Michigan3/9/2020
Minnesota2/26/2020
Mississippi4/15/2020
Missouri3/9/2020
Nebraska4/15/2020
Nevada3/9/2020
New Hampshire2/26/2020
New Jersey3/20/2020
New Mexico4/15/2020
New York2/26/2020
North Carolina3/9/2020
Ohio4/15/2020
Oklahoma4/15/2020
Oregon3/9/2020
Pennsylvania2/26/2020
Rhode Island3/9/2020
South Carolina4/15/2020
Tennessee3/9/2020
Texas3/9/2020
Utah4/15/2020
Virgin Islands3/9/2020
Virginia4/15/2020
Washington2/26/2020
Wisconsin3/9/2020
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
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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.