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Investment Adviser Firm Summary

TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD# 111514 / SEC# 801-55501)
Alternate Names: AMERIVEST INVESTMENT MANAGEMENT, LLC , PFN INVESTMENT MANAGEMENT LLC , TD AMERITRADE INVESTMENT MANAGEMENT, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/21/1998

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 04/30/2003
Alaska 05/02/2003
Arizona 01/12/1999
Arkansas 05/02/2003
California 01/15/1999
Colorado 05/06/2002
Connecticut 01/08/1999
Delaware 05/05/2003
District of Columbia 04/30/2003
Florida 10/30/2000
Georgia 04/30/2003
Hawaii 04/30/2003
Idaho 04/30/2003
Illinois 01/11/1999
Indiana 01/06/2003
Iowa 01/06/2003
Kansas 04/30/2003
Kentucky 04/30/2003
Louisiana 04/30/2003
Maine 04/30/2003
Maryland 01/25/1999
Massachusetts 01/11/1999
Michigan 04/30/2003
Minnesota 03/19/1999
Mississippi 04/30/2003
Missouri 10/24/2000
Montana 04/30/2003
Nebraska 05/06/2002
Nevada 04/30/2003
New Hampshire 01/11/1999
New Jersey 04/30/2003
New Mexico 04/30/2003
New York 03/20/2001
North Carolina 05/08/2002
North Dakota 04/30/2003
Ohio 10/24/2000
Oklahoma 04/30/2003
Oregon 04/30/2003
Pennsylvania 01/11/1999
Puerto Rico 04/30/2003
Rhode Island 04/30/2003
South Carolina 04/30/2003
South Dakota 05/21/2003
Tennessee 03/22/1999
Texas 01/12/1999
Utah 04/30/2003
Vermont 04/30/2003
Virgin Islands 12/19/2012
Virginia 03/09/2001
Washington 03/13/2001
West Virginia 04/30/2003
Wisconsin 04/30/2003
Wyoming 09/20/2017

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