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Investment Adviser Firm Summary

LOCKWOOD ADVISORS INC (CRD# 106108 / SEC# 801-52378)
Alternate Names: BNY MELLON LOCKWOOD , LOCKWOOD , LOCKWOOD ADVISORS INC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/15/1996

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 04/21/2000
Alaska 04/17/2000
Arizona 04/13/2000
Arkansas 04/14/2000
California 03/01/2000
Colorado 04/14/2000
Connecticut 04/13/2000
Delaware 08/28/2003
District of Columbia 06/01/2000
Florida 04/19/2000
Georgia 04/13/2000
Hawaii 04/14/2000
Idaho 04/17/2000
Illinois 04/13/2000
Indiana 02/09/2001
Iowa 04/18/2000
Kansas 04/13/2000
Kentucky 04/13/2000
Louisiana 04/19/2000
Maine 05/03/2000
Maryland 04/24/2000
Massachusetts 04/13/2000
Michigan 01/31/2001
Minnesota 04/17/2000
Mississippi 04/14/2000
Missouri 04/13/2000
Montana 04/14/2000
Nebraska 04/17/2000
Nevada 04/14/2000
New Hampshire 04/14/2000
New Jersey 04/27/2000
New Mexico 04/19/2000
New York 05/26/2000
North Carolina 12/11/2000
North Dakota 04/08/2000
Ohio 10/14/1999
Oklahoma 06/13/2000
Oregon 05/05/2000
Pennsylvania 07/14/2000
Puerto Rico 05/05/2000
Rhode Island 04/18/2000
South Carolina 01/31/2001
South Dakota 04/17/2000
Tennessee 04/17/2000
Texas 05/01/2000
Utah 04/18/2000
Vermont 04/14/2000
Virginia 04/27/2000
Washington 04/17/2000
West Virginia 04/18/2000
Wisconsin 05/01/2000
Wyoming 07/10/2017

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