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Investment Adviser Firm Summary

JAMES CAPITAL ALLIANCE INC (CRD# 107078 / SEC# 801-42655)
Alternate Names: JAMES CAPITAL ALLIANCE INC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 11/06/1992

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 03/19/1993
Arizona 03/08/1995
Arkansas 03/24/1993
California 03/09/1993
Colorado 03/30/2007
Connecticut 08/18/1997
Florida 04/01/1993
Georgia 02/08/1993
Hawaii 03/30/2009
Illinois 02/23/1993
Indiana 02/14/2001
Iowa 10/10/2005
Kansas 03/12/1993
Kentucky 02/04/1993
Louisiana 10/10/2001
Maryland 03/12/1993
Massachusetts 04/14/1994
Michigan 03/04/2005
Minnesota 03/11/1993
Mississippi 09/29/1997
Missouri 02/10/1993
Montana 03/11/2016
Nebraska 02/16/1993
Nevada 03/02/1993
New Jersey 03/16/1993
New Mexico 02/26/1993
New York 02/10/1993
North Carolina 02/12/2001
North Dakota 03/05/2010
Ohio 10/25/1999
Oklahoma 01/01/1998
Pennsylvania 03/30/1993
South Carolina 03/30/2007
South Dakota 03/13/2017
Tennessee 02/11/1993
Texas 01/22/1993
Utah 03/09/2018
Vermont 12/08/1994
Virginia 07/29/1997
Washington 02/26/1993
West Virginia 02/10/1993
Wisconsin 05/01/1998

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