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Investment Adviser Firm Summary

REGIONS INVESTMENT MANAGEMENT, INC. (CRD# 111715 / SEC# 801-27629)
Alternate Names: MORGAN ASSET MANAGEMENT, INC. , REGIONS INVESTMENT MANAGEMENT, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 08/15/1986

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 05/06/1991
Arkansas 10/06/1994
Florida 06/30/1987
Georgia 01/14/1992
Illinois 11/02/1994
Indiana 06/23/2005
Iowa 06/23/2005
Kentucky 10/06/1994
Louisiana 10/11/2001
Maryland 11/13/1994
Massachusetts 02/04/1995
Minnesota 01/02/1998
Mississippi 04/12/2001
Missouri 01/18/1995
New Hampshire 06/26/1998
New Jersey 04/18/2012
New York 01/13/1998
North Carolina 04/12/2001
Pennsylvania 11/05/1997
South Carolina 10/13/1994
Tennessee 07/30/1986
Texas 07/24/1992
Utah 11/28/1997
Virginia 02/12/1992

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