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Investment Adviser Firm Summary

BARNETT & CO INC (CRD# 105867 / SEC# 801-20295)
Alternate Names: BARNETT & CO INC , WWW.BARNETTANDCOMPANY.COM

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/06/1984

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 08/27/1997
Arkansas 05/18/2005
California 01/10/2007
Colorado 01/05/2009
District of Columbia 05/16/2005
Florida 05/17/2005
Georgia 07/11/1989
Illinois 12/02/2005
Iowa 12/08/2010
Maryland 05/16/2005
Michigan 05/02/2012
Mississippi 05/16/2005
New Hampshire 12/03/2012
New York 12/03/2012
North Carolina 01/02/2002
North Dakota 04/07/2009
Pennsylvania 12/03/2012
South Carolina 12/01/2004
Tennessee 03/26/1998
Texas 12/01/2004
Virginia 05/16/2005
West Virginia 09/20/2005

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