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Investment Adviser Firm Summary

JOHN E. SESTINA AND COMPANY (CRD# 108634 / SEC# 801-44151)
Alternate Names: JOHN E. SESTINA AND COMPANY , MTBW, LLC , SESTINA JOHN E. CO

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 06/17/1993

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
California 07/08/2016
Connecticut 07/08/2016
Florida 02/21/2001
Georgia 02/13/2001
Illinois 02/09/2001
Louisiana 07/08/2016
Michigan 07/12/2001
New Jersey 03/09/2001
New York 07/08/2016
North Carolina 02/14/2001
Ohio 03/16/2001
Pennsylvania 07/08/2016
Tennessee 04/05/2001
Texas 03/29/2000
Virginia 07/08/2016

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