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Investment Adviser Firm Summary

GOFEN AND GLOSSBERG, L.L.C. (CRD# 107859 / SEC# 801-54610)
Alternate Names: GOFEN AND GLOSSBERG, L.L.C.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/06/1997

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 10/09/1996
California 05/27/1997
Connecticut 07/14/1997
Delaware 06/26/2003
District of Columbia 01/27/1994
Florida 02/11/1982
Georgia 06/16/1998
Illinois 05/19/1998
Indiana 02/28/2001
Louisiana 10/08/2001
Maryland 06/26/1998
Massachusetts 04/30/1997
Michigan 11/26/1997
Minnesota 10/28/1998
Missouri 04/30/1997
Nebraska 08/15/1977
New Hampshire 11/27/1995
New Jersey 09/02/1986
New York 01/01/1992
Ohio 05/12/1999
Pennsylvania 06/14/1999
Texas 05/05/1997
Vermont 11/18/1994
Virginia 07/25/1988
Washington 03/28/2016
Wisconsin 07/17/1980

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