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Investment Adviser Firm Summary

PVG ASSET MANAGEMENT CORP (CRD# 105541 / SEC# 801-30581)
Alternate Names: PVG ASSET MANAGEMENT CORP

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/23/1987

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 01/17/2014
Alaska 01/17/2014
Arizona 06/23/2009
Arkansas 01/17/2014
California 08/18/1999
Colorado 01/01/1999
Connecticut 04/01/2013
Delaware 04/01/2013
District of Columbia 01/17/2014
Florida 04/02/2013
Georgia 04/01/2013
Hawaii 04/01/2013
Idaho 03/26/2012
Illinois 03/27/2012
Indiana 04/01/2013
Iowa 04/01/2013
Kansas 01/17/2014
Kentucky 01/17/2014
Louisiana 04/01/2013
Maine 01/17/2014
Maryland 01/17/2014
Massachusetts 04/01/2013
Michigan 04/01/2013
Minnesota 01/03/1994
Mississippi 01/17/2014
Missouri 01/17/2014
Montana 01/17/2014
Nebraska 01/17/2014
Nevada 03/26/2012
New Hampshire 01/17/2014
New Jersey 04/25/2013
New Mexico 04/01/2013
New York 04/01/2013
North Carolina 04/01/2013
North Dakota 04/01/2013
Ohio 04/01/2013
Oklahoma 01/17/2014
Oregon 04/01/2013
Pennsylvania 04/01/2013
Rhode Island 01/17/2014
South Carolina 04/01/2013
Tennessee 04/01/2013
Texas 06/23/2009
Utah 01/17/2014
Vermont 01/17/2014
Virginia 04/01/2013
Washington 03/26/2012
West Virginia 01/17/2014
Wisconsin 01/17/2014

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