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Investment Adviser Firm Summary

SYMPHONY ASSET MANAGEMENT LLC (CRD# 110687 / SEC# 801-52638)
Alternate Names: SYMPHONY ASSET MANAGEMENT LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 08/07/1996

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 03/24/2005
Alaska 04/01/2005
Arizona 03/24/2005
Arkansas 03/28/2005
California 10/01/1996
Colorado 03/24/2005
Connecticut 03/24/2005
Delaware 04/08/2005
District of Columbia 03/24/2005
Florida 03/28/2005
Georgia 03/24/2005
Hawaii 03/24/2005
Idaho 03/24/2005
Illinois 04/13/2005
Indiana 03/24/2005
Iowa 03/25/2005
Kansas 03/24/2005
Kentucky 03/24/2005
Louisiana 03/24/2005
Maine 03/24/2005
Maryland 03/24/2005
Massachusetts 03/24/2005
Michigan 03/24/2005
Minnesota 04/12/2005
Mississippi 03/24/2005
Missouri 03/24/2005
Montana 03/24/2005
Nebraska 03/24/2005
Nevada 03/24/2005
New Hampshire 03/24/2005
New Jersey 04/18/2005
New Mexico 03/24/2005
New York 03/24/2005
North Carolina 03/24/2005
North Dakota 03/24/2005
Ohio 03/24/2005
Oklahoma 03/24/2005
Oregon 03/24/2005
Pennsylvania 03/24/2005
Puerto Rico 03/24/2005
Rhode Island 03/24/2005
South Carolina 03/24/2005
South Dakota 03/25/2005
Tennessee 03/25/2005
Texas 03/24/2005
Utah 03/24/2005
Vermont 03/24/2005
Virginia 03/24/2005
Washington 03/24/2005
West Virginia 03/24/2005
Wisconsin 03/24/2005
Wyoming 03/29/2018

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