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Investment Adviser Firm Summary

PATTEN AND PATTEN, INC. (CRD# 105414 / SEC# 801-11499)
Alternate Names: PATTEN & PATTEN INC , PATTEN AND PATTEN, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/12/1976

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 05/30/2003
Arkansas 04/04/2005
California 03/31/2003
Colorado 03/03/2008
Florida 04/01/2003
Georgia 01/02/1996
Indiana 11/14/2013
Kansas 04/21/2008
Louisiana 03/30/2005
Mississippi 03/30/2005
Missouri 08/23/2007
New York 11/08/2007
North Carolina 03/31/2003
South Carolina 03/30/2005
Tennessee 07/01/1977
Texas 03/31/2003
Virginia 03/30/2005
Washington 11/08/2007
Wisconsin 08/15/2007

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