at


Investment Adviser Firm Summary

TOCQUEVILLE ASSET MANAGEMENT LP (CRD# 105690 / SEC# 801-36209)
Alternate Names: TOCQUEVILLE ASSET MANAGEMENT LP

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/27/1990

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 03/26/2008
Alaska 03/26/2008
Arizona 12/11/2006
Arkansas 03/26/2008
California 02/11/2002
Colorado 03/20/2007
Connecticut 02/11/2002
Delaware 04/02/2008
District of Columbia 04/30/2007
Florida 02/01/2001
Georgia 04/07/2004
Hawaii 03/26/2008
Idaho 03/26/2008
Illinois 02/13/2002
Indiana 03/26/2008
Iowa 03/22/2007
Kansas 03/26/2008
Kentucky 03/26/2008
Louisiana 03/26/2008
Maine 04/30/2007
Maryland 04/30/2007
Massachusetts 04/07/2004
Michigan 03/31/2005
Minnesota 03/26/2008
Mississippi 03/26/2008
Missouri 03/26/2008
Montana 03/26/2008
Nebraska 03/26/2008
Nevada 03/26/2008
New Hampshire 03/26/2008
New Jersey 05/05/2004
New Mexico 03/26/2008
New York 02/01/2001
North Carolina 03/26/2008
North Dakota 03/26/2008
Ohio 02/11/2002
Oklahoma 10/19/2000
Oregon 03/26/2008
Pennsylvania 04/30/2007
Puerto Rico 03/26/2008
Rhode Island 03/29/2006
South Carolina 03/26/2008
South Dakota 03/26/2008
Tennessee 02/12/2002
Texas 03/29/2006
Utah 03/26/2008
Vermont 04/30/2007
Virgin Islands 03/26/2008
Virginia 03/20/2007
Washington 03/26/2008
West Virginia 03/26/2008
Wisconsin 04/30/2007
Wyoming 03/31/2018

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