at


Investment Adviser Firm Summary

NEW YORK LIFE INVESTMENT MANAGEMENT LLC (CRD# 109591 / SEC# 801-57396)
Alternate Names: MAINSTAY , NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC , NEW YORK LIFE INVESTMENT MANAGEMENT LLC , NEW YORK LIFE INVESTMENTS

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 03/20/2000

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 02/25/2002
Alaska 03/01/2002
Arizona 02/25/2002
Arkansas 02/27/2002
California 02/25/2002
Colorado 02/25/2002
Connecticut 10/02/2001
Delaware 03/31/2003
District of Columbia 02/26/2002
Florida 02/26/2002
Georgia 11/28/2001
Hawaii 02/25/2002
Idaho 02/25/2002
Illinois 03/01/2002
Indiana 02/25/2002
Iowa 03/04/2002
Kansas 02/25/2002
Kentucky 11/28/2001
Louisiana 02/25/2002
Maine 02/25/2002
Maryland 02/25/2002
Massachusetts 10/02/2001
Michigan 02/25/2002
Minnesota 03/06/2002
Mississippi 02/25/2002
Missouri 02/26/2002
Montana 02/25/2002
Nebraska 02/25/2002
Nevada 02/25/2002
New Hampshire 02/26/2002
New Jersey 11/01/2001
New Mexico 03/12/2002
New York 02/25/2002
North Carolina 02/25/2002
North Dakota 02/25/2002
Ohio 02/25/2002
Oklahoma 04/15/2002
Oregon 02/25/2002
Pennsylvania 10/02/2001
Puerto Rico 02/25/2002
Rhode Island 02/25/2002
South Carolina 02/25/2002
South Dakota 02/26/2002
Tennessee 10/25/2001
Texas 02/26/2002
Utah 02/27/2002
Vermont 02/25/2002
Virginia 10/02/2001
Washington 02/25/2002
West Virginia 10/09/2001
Wisconsin 02/25/2002

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