at


Investment Adviser Firm Summary

STANDARD & POORS INVESTMENT ADVISORY SERVICES LLC (CRD# 109683 / SEC# 801-51431)
Alternate Names: STANDARD & POORS INVESTMENT ADVISORY SERVICES LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 03/05/1996

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 12/22/2002
Alaska 09/04/1996
Arizona 01/01/1998
Arkansas 01/02/1997
California 01/09/1998
Colorado 03/27/2003
Connecticut 11/24/1997
Delaware 04/30/2003
District of Columbia 01/23/1997
Florida 01/09/1997
Georgia 06/10/1996
Hawaii 10/07/1997
Idaho 01/02/1997
Illinois 12/31/1997
Indiana 02/14/2001
Iowa 03/29/1999
Kansas 10/02/1996
Kentucky 01/02/1997
Louisiana 10/17/2001
Maine 09/11/1996
Maryland 01/27/1998
Massachusetts 09/03/1996
Michigan 11/25/1997
Minnesota 01/02/1998
Mississippi 02/12/2001
Missouri 01/01/1997
Montana 01/01/1998
Nebraska 12/31/1997
Nevada 01/02/1997
New Hampshire 01/01/1997
New Jersey 06/11/1996
New Mexico 01/01/1997
New York 05/15/1996
North Carolina 02/12/2001
North Dakota 08/16/2000
Ohio 10/14/1999
Oklahoma 01/01/1998
Oregon 03/27/2003
Pennsylvania 04/21/2000
Puerto Rico 10/06/1997
Rhode Island 01/15/1997
South Carolina 12/31/1997
South Dakota 09/11/1996
Tennessee 01/02/1998
Texas 07/15/1999
Utah 05/09/1996
Vermont 01/01/1997
Virgin Islands 03/26/2013
Virginia 01/06/1998
Washington 04/20/1998
West Virginia 01/01/1997
Wisconsin 11/08/1996

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