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Investment Adviser Firm Summary

LEGEND ADVISORY, LLC (CRD# 104761 / SEC# 801-13887)
Alternate Names: FREEMARK INVESTMENT MANAGEMENT , LEGEND ADVISORY , LEGEND ADVISORY CORP , LEGEND ADVISORY CORPORATION , LEGEND ADVISORY, LLC , THE LEGEND GROUP , THE LINCOLN INVESTMENT COMPANIES

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/27/1978

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 01/14/2003
Alaska 02/08/1996
Arizona 09/01/1994
Arkansas 12/19/1994
California 03/24/1981
Colorado 06/23/2005
Connecticut 09/08/1997
Delaware 12/01/1994
District of Columbia 12/08/1994
Florida 07/10/1981
Georgia 04/15/1992
Hawaii 01/01/2002
Idaho 06/02/1995
Illinois 06/21/1989
Indiana 02/06/2001
Iowa 01/01/1999
Kansas 09/22/1994
Kentucky 07/06/1992
Louisiana 10/10/2001
Maine 04/03/1996
Maryland 10/01/1990
Massachusetts 04/14/1994
Michigan 11/20/1997
Minnesota 08/12/1994
Mississippi 11/12/1997
Missouri 10/08/1992
Montana 11/21/1994
Nebraska 09/09/1995
Nevada 03/12/1992
New Hampshire 06/26/1996
New Jersey 03/27/1981
New Mexico 05/23/1990
New York 09/19/1978
North Carolina 12/20/2000
North Dakota 12/08/1995
Ohio 01/01/2000
Oklahoma 01/01/1998
Oregon 07/26/1994
Pennsylvania 11/25/1987
Rhode Island 10/17/1996
South Carolina 12/20/2000
South Dakota 05/18/1995
Tennessee 05/07/1998
Texas 05/23/1990
Utah 11/30/1992
Vermont 11/29/1995
Virginia 03/24/1988
Washington 07/11/1994
West Virginia 11/22/1989
Wisconsin 01/23/1996

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