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Investment Adviser Firm Summary

WILLIAMS, JONES & ASSOCIATES, LLC (CRD# 106861 / SEC# 801-31832)
Alternate Names: WILLIAMS JONES & ASSOCIATES INC , WILLIAMS, JONES & ASSOCIATES, LLC , WILLIAMS, JONES & ASSOCIATES,INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/14/1988

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 11/22/2013
Arizona 03/31/2004
California 04/26/1988
Colorado 03/31/2004
Connecticut 11/28/2000
Delaware 02/04/2008
District of Columbia 06/27/2003
Florida 06/27/2003
Georgia 06/27/2003
Idaho 11/23/2015
Illinois 03/18/2008
Indiana 03/15/2012
Louisiana 01/19/2006
Maine 03/31/2004
Maryland 06/27/2003
Massachusetts 06/27/2003
Michigan 11/11/2014
Minnesota 02/08/2005
Missouri 11/23/2015
Montana 01/28/2008
Nevada 03/15/2012
New Hampshire 03/15/2012
New Jersey 05/23/1988
New Mexico 06/27/2003
New York 04/15/1988
North Carolina 06/27/2003
Ohio 06/27/2003
Oregon 11/22/2016
Pennsylvania 06/27/2003
Rhode Island 01/31/2005
South Carolina 06/27/2003
Tennessee 11/22/2013
Texas 06/27/2003
Vermont 06/27/2003
Virginia 06/27/2003
Washington 06/27/2003
Wisconsin 03/31/2004
Wyoming 11/14/2018

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