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Investment Adviser Firm Summary

VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. (CRD# 106975 / SEC# 801-51795)
Alternate Names: VAUGHAN NELSON , VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. , VAUGHAN NELSON SCARBOROUGH & MCCULLOUGH LP , VNIM

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/25/1996

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 01/16/2004
Alaska 01/16/2004
Arizona 09/03/2003
Arkansas 01/20/2004
California 04/23/1998
Colorado 01/16/2004
Connecticut 01/16/2004
Delaware 01/29/2004
District of Columbia 01/16/2004
Florida 04/07/1998
Georgia 03/25/1998
Hawaii 01/16/2004
Idaho 01/16/2004
Illinois 03/25/1998
Indiana 01/16/2004
Iowa 01/21/2004
Kansas 01/16/2004
Kentucky 01/16/2004
Louisiana 10/18/2001
Maine 01/16/2004
Maryland 01/16/2004
Massachusetts 01/16/2004
Michigan 01/16/2004
Minnesota 09/09/2003
Mississippi 01/16/2004
Missouri 01/16/2004
Montana 01/16/2004
Nebraska 01/16/2004
Nevada 01/16/2004
New Hampshire 01/19/2004
New Jersey 02/17/2004
New Mexico 03/25/1998
New York 03/28/2003
North Carolina 01/16/2004
North Dakota 01/16/2004
Ohio 01/16/2004
Oklahoma 09/03/2003
Oregon 01/16/2004
Pennsylvania 01/16/2004
Rhode Island 01/16/2004
South Carolina 01/16/2004
South Dakota 01/22/2004
Tennessee 01/19/2004
Texas 04/25/1996
Utah 01/16/2004
Vermont 03/27/1998
Virginia 09/03/2003
Washington 09/03/2003
West Virginia 01/16/2004
Wisconsin 01/16/2004
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