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Investment Adviser Firm Summary

JAMES INVESTMENT RESEARCH INC (CRD# 110433 / SEC# 801-12359)
Alternate Names: JAMES INVESTMENT RESEARCH INC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/02/1976

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 12/06/2011
California 01/03/2007
Colorado 12/18/2013
District of Columbia 12/18/2013
Florida 01/04/2007
Idaho 12/17/2015
Illinois 12/18/2015
Indiana 12/06/2011
Kentucky 12/06/2011
Louisiana 11/05/2007
Michigan 01/03/2007
Montana 12/15/2014
New York 12/20/2012
Ohio 01/03/2007
Oregon 12/20/2016
South Carolina 12/06/2011
Virginia 12/18/2013
West Virginia 01/03/2007

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