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Investment Adviser Firm Summary

ADVISORS CAPITAL MANAGEMENT, LLC (CRD# 112266 / SEC# 801-62058)
Alternate Names: ADVISORS CAPITAL MANAGEMENT, LLC , ADVISORS CAPITAL MANAGMENT, LLC , ADVISORS FINANCIAL CENTER, L.L.C. , BRIDGEVIEW WEALTH

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/16/2003
Connecticut Terminated 06/24/2003
Florida Failure to Renew 12/31/2002
Kentucky Terminated 06/16/2003
New Jersey Terminated 06/18/2003
New York Terminated 06/18/2003

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 01/17/2014
Alaska 01/17/2014
Arizona 02/19/2008
Arkansas 01/17/2014
California 03/18/2005
Colorado 01/17/2014
Connecticut 06/16/2003
Delaware 02/28/2013
District of Columbia 01/17/2014
Florida 07/14/2003
Georgia 02/28/2013
Hawaii 01/17/2014
Idaho 02/28/2013
Illinois 10/22/2010
Indiana 01/17/2014
Iowa 01/17/2014
Kansas 01/17/2014
Kentucky 06/16/2003
Louisiana 01/17/2014
Maine 01/17/2014
Maryland 02/28/2013
Massachusetts 03/23/2005
Michigan 02/28/2013
Minnesota 01/17/2014
Mississippi 01/17/2014
Missouri 01/17/2014
Montana 01/17/2014
Nebraska 11/06/2008
Nevada 01/17/2014
New Hampshire 01/17/2014
New Jersey 06/16/2003
New Mexico 01/17/2014
New York 06/16/2003
North Carolina 02/28/2013
North Dakota 01/17/2014
Ohio 01/17/2014
Oklahoma 01/17/2014
Oregon 01/17/2014
Pennsylvania 09/11/2007
Puerto Rico 01/17/2014
Rhode Island 01/17/2014
South Carolina 10/22/2010
South Dakota 01/17/2014
Tennessee 01/17/2014
Texas 10/01/2004
Utah 01/17/2014
Vermont 01/17/2014
Virgin Islands 01/17/2014
Virginia 10/22/2010
Washington 02/28/2013
West Virginia 01/17/2014
Wisconsin 02/14/2008
Wyoming 05/16/2018

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