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Investment Adviser Firm Summary

SECURITY INVESTORS, LLC (CRD# 105477 / SEC# 801-8008)
Alternate Names: 6TH AVENUE INVESTMENT MANAGEMENT COMPANY , 6TH AVENUE INVESTMENT MANAGEMENT COMPANY, LLC , GUGGENHEIM INVESTMENTS , GUGGENHEIM INVESTMENTS ASSET MANAGEMENT , GUGGENHEIM PARTNERS , RYDEX INVESTMENTS , RYDEX|SGI , SECURITY GLOBAL INVESTORS , SECURITY INVESTORS, LLC , SECURITY MANAGEMENT COMPANY, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 11/20/1971

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 11/07/2006
Alaska 10/13/2006
Arizona 10/12/2006
Arkansas 10/16/2006
California 10/12/2006
Colorado 10/12/2006
Connecticut 10/12/2006
Delaware 10/17/2006
District of Columbia 10/12/2006
Florida 10/13/2006
Georgia 10/12/2006
Hawaii 10/12/2006
Idaho 10/12/2006
Illinois 10/12/2006
Indiana 10/12/2006
Iowa 10/16/2006
Kansas 07/05/1979
Kentucky 10/12/2006
Louisiana 10/12/2006
Maine 10/12/2006
Maryland 10/12/2006
Massachusetts 10/12/2006
Michigan 10/12/2006
Minnesota 10/17/2006
Mississippi 10/12/2006
Missouri 10/12/2006
Montana 10/12/2006
Nebraska 10/12/2006
Nevada 10/12/2006
New Hampshire 10/12/2006
New Jersey 12/18/2006
New Mexico 12/05/2006
New York 12/05/2006
North Carolina 10/12/2006
North Dakota 10/12/2006
Ohio 10/12/2006
Oklahoma 10/12/2006
Oregon 10/12/2006
Pennsylvania 10/12/2006
Puerto Rico 12/05/2006
Rhode Island 10/12/2006
South Carolina 10/12/2006
South Dakota 10/12/2006
Tennessee 10/13/2006
Texas 12/05/2006
Utah 10/12/2006
Vermont 10/12/2006
Virgin Islands 05/05/2008
Virginia 10/12/2006
Washington 10/12/2006
West Virginia 10/12/2006
Wisconsin 10/12/2006
Wyoming 11/17/2017

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