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Investment Adviser Firm Summary

HIGHLAND CAPITAL MANAGEMENT, LLC (CRD# 104842 / SEC# 801-8762)
Alternate Names: HIGHLAND CAPITAL MANAGEMENT CORP , HIGHLAND CAPITAL MANAGEMENT, LLC , HIGHLAND CAPITAL MANAGMENT, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/21/1972

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 03/01/1994
California 03/01/1994
Colorado 03/28/2018
Florida 02/01/2001
Georgia 02/24/1994
Kentucky 02/28/2017
Louisiana 03/28/2013
Mississippi 02/01/2001
New York 02/01/2001
Pennsylvania 06/05/2015
Tennessee 07/13/1972
Texas 03/01/1994
Virginia 03/28/2013

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