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Investment Adviser Firm Summary

PINNACLE ASSOCIATES, LTD. (CRD# 110631 / SEC# 801-20841)
Alternate Names: PINNACLE ASSOCIATES LTD (NY) , PINNACLE ASSOCIATES LTD. CORP. , PINNACLE ASSOCIATES, LTD.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 03/16/1984

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 02/22/2000
California 04/24/1992
Connecticut 12/30/1998
Delaware 06/26/2003
Florida 04/09/1990
Georgia 09/18/1989
Illinois 02/18/2000
Indiana 11/26/2001
Kentucky 12/21/2012
Louisiana 01/31/2003
Maine 02/24/2000
Maryland 02/28/2000
Massachusetts 04/15/1994
Michigan 02/23/2000
Missouri 11/26/2001
Nebraska 12/21/2012
Nevada 02/23/2000
New Hampshire 02/18/2000
New Jersey 02/27/1991
New Mexico 07/09/2002
New York 02/15/1984
North Carolina 04/11/2001
Ohio 11/26/2001
Oklahoma 04/26/2002
Oregon 11/26/2001
Pennsylvania 11/06/2000
Rhode Island 11/26/2001
South Carolina 04/11/2001
Tennessee 12/10/2001
Texas 02/24/2000
Vermont 04/12/1999
Virginia 01/31/2000
Washington 11/26/2001
Wisconsin 11/26/2001

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