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Investment Adviser Firm Summary

CAIN, WATTERS & ASSOCIATES, LLC (CRD# 111521 / SEC# 801-39899)
Alternate Names: CAIN, WATTERS & ASSOCIATES, LLC , CAIN, WATTERS & ASSOCIATES, P.L.L.C. , CAIN, WATTERS & ASSOCIATES, PC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/30/1991

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 02/07/2005
Alaska 06/17/2009
Arizona 06/13/2005
Arkansas 02/09/2005
California 06/13/2005
Colorado 06/13/2005
Connecticut 06/13/2005
Delaware 03/30/2015
District of Columbia 03/29/2018
Florida 02/08/2005
Georgia 02/07/2005
Hawaii 06/13/2005
Idaho 06/13/2005
Illinois 06/13/2005
Indiana 02/07/2005
Iowa 06/20/2005
Kansas 02/07/2005
Kentucky 06/13/2005
Louisiana 02/07/2005
Maine 06/13/2005
Maryland 06/13/2005
Massachusetts 06/13/2005
Michigan 02/07/2005
Minnesota 06/21/2005
Mississippi 02/07/2005
Missouri 06/13/2005
Montana 05/10/2005
Nebraska 05/10/2005
Nevada 05/10/2005
New Hampshire 05/10/2005
New Jersey 05/26/2005
New Mexico 05/10/2005
New York 05/10/2005
North Carolina 02/07/2005
North Dakota 05/10/2005
Ohio 02/07/2005
Oklahoma 05/10/2005
Oregon 05/10/2005
Pennsylvania 05/10/2005
Rhode Island 05/10/2005
South Carolina 05/10/2005
South Dakota 05/10/2005
Tennessee 02/08/2005
Texas 01/01/1992
Utah 05/10/2005
Vermont 05/10/2005
Virginia 05/10/2005
Washington 05/10/2005
West Virginia 05/10/2005
Wisconsin 05/10/2005
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