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Investment Adviser Firm Summary
BCG SECURITIES, INC. ( CRD # 70/SEC#:801-56943,8-12680 )
AC CAPITAL MANAGEMENT, WHITE CLIFF WEALTH MANAGEMENT, WEALTH ADVISORY GROUP, THE KIRWAN COMPANIES, LTD, ROCHONCHOU WEALTH MANAGEMENT…
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
SECApproved11/4/1999
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
Alabama12/4/2014
Alaska5/28/2024
Arizona12/13/2016
Arkansas1/10/2023
California6/25/2014
Colorado8/29/2012
Connecticut5/19/2014
Delaware4/23/2012
District of Columbia8/28/2012
Florida4/23/2012
Georgia11/19/2012
Hawaii1/21/2021
Idaho12/10/2018
Illinois8/30/2017
Indiana5/14/2018
Iowa9/12/2013
Kentucky12/2/2011
Louisiana5/3/2019
Maryland5/24/2012
Massachusetts8/12/2004
Michigan1/12/2015
Minnesota5/3/2019
Mississippi2/11/2015
Missouri9/23/2015
Montana10/1/2024
Nebraska6/11/2014
Nevada10/11/2019
New Hampshire11/19/2015
New Jersey4/7/2003
New Mexico7/26/2013
New York7/30/2004
North Carolina4/18/2012
Ohio3/8/2012
Oregon6/8/2017
Pennsylvania3/21/2001
South Carolina4/24/2012
Tennessee7/31/2013
Texas3/26/2004
Vermont8/14/2017
Virginia11/19/2008
Washington6/15/2015
West Virginia10/23/2015
Wisconsin5/17/2012
Wyoming10/10/2018
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.