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Investment Adviser Firm Summary

TOM JOHNSON INVESTMENT MANAGEMENT, LLC (CRD# 104511 / SEC# 801-42549)
Alternate Names: TOM JOHNSON INVESTMENT MANAGEMENT, INC. , TOM JOHNSON INVESTMENT MANAGEMENT, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/21/1992

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.


JURISDICTION EFFECTIVE DATE
Alabama 01/09/1992
Alaska 12/11/1992
Arizona 08/22/1994
Arkansas 11/10/1992
California 11/04/1992
Colorado 03/25/2004
Connecticut 09/08/1997
Delaware 04/09/2003
District of Columbia 01/05/1994
Florida 12/11/1992
Georgia 10/29/1992
Hawaii 12/14/1992
Idaho 01/01/1992
Illinois 12/11/1992
Indiana 11/08/2000
Iowa 03/29/2004
Kansas 12/11/1992
Kentucky 10/16/1992
Louisiana 10/17/2001
Maine 12/11/1992
Maryland 10/22/1992
Massachusetts 04/14/1994
Michigan 01/05/2000
Minnesota 12/27/1994
Mississippi 12/16/1997
Missouri 11/13/1992
Montana 11/05/1992
Nebraska 01/03/2002
Nevada 11/19/1992
New Hampshire 12/04/1992
New Jersey 02/21/1992
New Mexico 12/11/1992
New York 09/03/1991
North Carolina 11/01/2000
Ohio 03/25/2004
Oklahoma 01/01/2001
Oregon 12/11/1998
Pennsylvania 12/03/1992
Puerto Rico 11/05/1992
Rhode Island 01/01/1993
South Carolina 12/11/1992
South Dakota 11/18/1992
Tennessee 01/01/1998
Texas 12/11/1992
Utah 10/16/1992
Vermont 01/27/1995
Virginia 11/05/1992
Washington 11/12/1992
West Virginia 11/15/1992
Wisconsin 07/08/1997

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