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Investment Adviser Firm Summary

PETER B. CANNELL & CO., INC. (CRD# 106326 / SEC# 801-27046)
Alternate Names: PETER B. CANNELL & CO., INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 03/31/1986

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 03/26/2015
California 10/20/1986
Connecticut 07/07/1997
Delaware 03/31/2008
District of Columbia 03/30/2010
Florida 03/28/1995
Georgia 01/17/2003
Illinois 03/28/2016
Maine 03/26/2008
Maryland 10/17/1995
Massachusetts 04/12/1995
Minnesota 03/26/2015
New Hampshire 08/24/1995
New Jersey 09/29/1988
New Mexico 03/26/2015
New York 11/30/1973
North Carolina 03/26/2008
Pennsylvania 04/17/1995
Rhode Island 03/26/2015
Texas 06/20/2000
Utah 03/31/2009
Vermont 01/09/1995
Virginia 01/01/2001
Washington 03/20/2013
Wyoming 03/29/2018

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