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Investment Adviser Firm Summary

CROSSMARK GLOBAL INVESTMENTS, INC. (CRD# 113360 / SEC# 801-17695)
Alternate Names: CAPSTONE ASSET MANAGEMENT COMPANY , CROSSMARK GLOBAL INVESTMENTS, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/26/1982

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 08/02/1991
Alaska 02/01/2002
Arizona 01/31/2002
Arkansas 02/05/2002
California 01/31/2002
Colorado 12/21/2001
Connecticut 01/31/2002
Delaware 01/31/2002
District of Columbia 01/31/2002
Florida 02/26/2002
Georgia 01/31/2002
Hawaii 01/31/2002
Idaho 01/31/2002
Illinois 02/24/2002
Indiana 01/31/2002
Iowa 02/04/2002
Kansas 01/31/2002
Kentucky 12/21/2001
Louisiana 01/31/2002
Maine 01/31/2002
Maryland 02/20/2001
Massachusetts 01/31/2002
Michigan 01/31/2002
Minnesota 01/01/2002
Mississippi 02/13/2001
Missouri 02/13/2001
Montana 01/31/2002
Nebraska 01/31/2002
Nevada 01/31/2002
New Hampshire 01/31/2002
New Jersey 03/09/2001
New Mexico 04/10/2002
New York 04/01/2001
North Carolina 01/31/2002
North Dakota 01/31/2002
Ohio 12/21/2001
Oklahoma 03/29/2002
Oregon 01/31/2002
Pennsylvania 01/31/2002
Rhode Island 01/31/2002
South Carolina 01/31/2002
South Dakota 02/01/2002
Tennessee 02/01/2002
Texas 03/20/2002
Utah 02/13/2002
Vermont 01/31/2002
Virginia 01/31/2002
Washington 01/31/2002
West Virginia 02/04/2002
Wisconsin 01/31/2002

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