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Investment Adviser Firm Summary

SHARKEY HOWES & JAVER INC (CRD# 106050 / SEC# 801-38328)
Alternate Names: SHARKEY HOWES & JAVER INC , SHARLEY HOWES & JAVER INC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/28/1991

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
Arizona 08/03/2004
California 08/03/2004
Colorado 01/01/1999
Florida 02/17/2009
Illinois 02/26/2008
Louisiana 12/02/2013
Montana 12/12/2016
New Mexico 02/13/2009
New York 11/17/2015
Oregon 12/02/2013
Texas 08/03/2004
Virginia 12/12/2016
Washington 02/27/2014
Wyoming 03/19/2018

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