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Investment Adviser Firm Summary

YOUNG RICHARD C & CO LTD (CRD# 105866 / SEC# 801-35765)
Alternate Names: YOUNG RICHARD C & CO LTD

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/03/1990

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 11/21/1995
Alaska 12/16/1998
Arizona 01/01/1995
Arkansas 03/30/2015
California 04/23/1990
Colorado 03/18/2002
Connecticut 12/26/1997
Delaware 03/31/2003
District of Columbia 09/01/1995
Florida 09/01/1994
Georgia 03/24/1995
Hawaii 05/08/1998
Idaho 05/05/1998
Illinois 12/18/1997
Indiana 02/08/2001
Iowa 01/01/1999
Kansas 05/04/1998
Kentucky 10/12/1995
Louisiana 10/16/2001
Maine 12/11/2003
Maryland 05/19/1998
Massachusetts 03/31/1994
Michigan 06/22/2001
Minnesota 07/16/1998
Mississippi 12/22/1997
Missouri 02/01/1996
Montana 01/01/1998
Nebraska 05/12/1998
Nevada 11/01/1995
New Hampshire 11/02/1995
New Jersey 10/26/1995
New Mexico 05/14/1998
New York 03/22/1994
North Carolina 01/24/2001
Ohio 03/18/1999
Oklahoma 12/11/2003
Oregon 11/15/1995
Pennsylvania 01/02/1996
Rhode Island 11/24/1997
South Carolina 10/25/1996
South Dakota 03/28/2018
Tennessee 06/03/1998
Texas 01/29/1999
Utah 10/17/1995
Vermont 01/30/1995
Virginia 10/09/1996
Washington 11/16/1995
West Virginia 10/25/1995
Wisconsin 08/27/1990
Wyoming 03/28/2018

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