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Investment Adviser Firm Summary

TDAM USA INC. (CRD# 110088 / SEC# 801-50261)
Alternate Names: HARBOUR CAPITAL , LANCASTER INVESTMENT COUNSEL , QUANTITATIVE CAPITAL , TD ASSET MANAGEMENT , TD ASSET MANAGEMENT USA INC. , TD HARBOUR CAPITAL , TD LANCASTER INVESTMENT COUNSEL , TD QUANTITATIVE CAPITAL , TD WATERHOUSE ASSET MANAGEMENT, INC , TD WATERHOUSE ASSET MANAGEMENT, INC. , TDAM USA , TDAM USA INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/28/1995

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 01/26/2017
Alaska 01/26/2017
Arizona 01/26/2017
Arkansas 01/26/2017
California 01/26/2017
Colorado 01/26/2017
Connecticut 07/05/2013
Delaware 07/05/2013
District of Columbia 07/05/2013
Florida 07/08/2013
Georgia 01/26/2017
Hawaii 01/26/2017
Idaho 01/26/2017
Illinois 01/30/2017
Indiana 01/26/2017
Iowa 01/26/2017
Kansas 01/26/2017
Kentucky 01/26/2017
Louisiana 01/26/2017
Maine 07/05/2013
Maryland 07/05/2013
Massachusetts 07/05/2013
Michigan 01/26/2017
Minnesota 01/26/2017
Mississippi 01/26/2017
Missouri 01/26/2017
Montana 01/26/2017
Nebraska 01/26/2017
Nevada 01/26/2017
New Hampshire 07/05/2013
New Jersey 07/15/2005
New Mexico 01/26/2017
New York 01/28/2003
North Carolina 07/05/2013
North Dakota 01/26/2017
Ohio 01/26/2017
Oklahoma 01/26/2017
Oregon 01/26/2017
Pennsylvania 07/05/2013
Rhode Island 07/05/2013
South Carolina 07/05/2013
South Dakota 01/26/2017
Tennessee 01/26/2017
Texas 01/26/2017
Utah 01/26/2017
Vermont 07/05/2013
Virginia 01/26/2017
Washington 01/26/2017
West Virginia 01/26/2017
Wisconsin 01/26/2017
Wyoming 01/25/2018

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