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Investment Adviser Firm Summary

SULLIVAN, BRUYETTE, SPEROS & BLAYNEY, LLC (CRD# 109732 / SEC# 801-38301)
Alternate Names: HARRIS SBSB , SBSB , SULLIVAN BRUYETTE SPEROS & BLAYNEY , SULLIVAN BRUYETTE SPEROS & BLAYNEY INC , SULLIVAN, BRUYETTE, SPEROS & BLAYNEY, LLC , SULLIVAN, BRUYETTE, SPEROS, & BLAYNEY, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/03/1991

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 10/28/2004
California 01/07/1999
Colorado 04/01/2013
Connecticut 12/30/1997
Delaware 03/30/2018
District of Columbia 01/28/1994
Florida 09/06/1995
Georgia 08/14/1995
Illinois 10/22/2002
Louisiana 04/01/2016
Maryland 03/28/1991
Massachusetts 05/06/1996
New Hampshire 02/02/1999
New Jersey 06/21/2004
New York 10/14/2002
North Carolina 02/20/2001
Pennsylvania 01/04/1999
South Carolina 11/09/2004
Tennessee 06/30/2005
Texas 09/06/1996
Utah 10/17/2018
Virginia 09/01/1988
Washington 02/26/2001

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