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Investment Adviser Firm Summary

AMERICAN FINANCIAL MANAGEMENT LTD (CRD# 111016 / SEC# 801-20003)
Alternate Names: AMERICAN FINANCIAL MANAGEMENT LTD

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/26/1983
Nevada Cancelled 06/15/2004

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 08/24/1994
California 02/23/1992
Colorado 05/27/1999
District of Columbia 12/08/1993
Florida 06/26/1989
Georgia 10/23/1997
Hawaii 06/12/1998
Indiana 03/29/1990
Iowa 01/01/1999
Kansas 03/25/1991
Louisiana 09/27/2001
Michigan 01/13/2000
Minnesota 11/30/1988
Missouri 10/11/1988
Nebraska 04/20/1999
Nevada 03/22/2017
New Jersey 02/03/1989
New Mexico 05/15/1995
New York 07/31/1998
North Carolina 04/25/2001
Oklahoma 01/01/1998
Pennsylvania 09/17/1993
South Dakota 09/29/1989
Tennessee 01/01/1998
Texas 10/07/1992
Utah 02/07/1994
Washington 05/01/1998
Wisconsin 06/07/1993

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