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Investment Adviser Firm Summary

MACKAY SHIELDS LLC (CRD# 107717 / SEC# 801-5594)
Alternate Names: MACKAY SHIELDS LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/11/1969
Oklahoma Terminated 03/30/2006

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 03/30/2012
Alaska 03/22/2013
Arizona 03/22/2013
Arkansas 03/22/2013
California 03/30/2009
Colorado 03/22/2013
Connecticut 03/30/2009
Delaware 03/22/2013
District of Columbia 03/22/2013
Florida 03/25/2013
Georgia 03/22/2013
Hawaii 03/22/2013
Idaho 03/22/2013
Illinois 03/27/2013
Indiana 03/30/2012
Iowa 03/22/2013
Kansas 03/22/2013
Kentucky 03/22/2013
Louisiana 03/22/2013
Maine 03/22/2013
Maryland 03/30/2012
Massachusetts 03/22/2013
Michigan 03/22/2013
Minnesota 03/22/2013
Mississippi 03/22/2013
Missouri 03/22/2013
Montana 03/22/2013
Nebraska 03/22/2013
Nevada 03/22/2013
New Hampshire 03/22/2013
New Jersey 08/06/2009
New Mexico 03/22/2013
New York 07/29/1976
North Carolina 03/22/2013
North Dakota 03/22/2013
Ohio 03/23/2004
Oklahoma 03/30/2006
Oregon 03/22/2013
Pennsylvania 03/22/2013
Puerto Rico 03/30/2017
Rhode Island 03/22/2013
South Carolina 03/22/2013
South Dakota 03/22/2013
Tennessee 03/22/2013
Texas 01/14/1986
Utah 03/22/2013
Vermont 03/22/2013
Virgin Islands 03/30/2017
Virginia 03/22/2013
Washington 03/22/2013
West Virginia 03/22/2013
Wisconsin 03/22/2013
Wyoming 03/28/2018

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