at


Investment Adviser Firm Summary

SHEAFF BROCK INVESTMENT ADVISORS, LLC (CRD# 118739 / SEC# 801-60978)
Alternate Names: SHEAFF BROCK INVESTMENT ADVISORS, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 03/19/2002
Indiana Terminated 03/14/2008
Texas Terminated 08/29/2002

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 07/08/2010
Alaska 07/08/2010
Arizona 07/08/2010
Arkansas 07/08/2010
California 05/25/2010
Colorado 07/08/2010
Connecticut 07/08/2010
Delaware 07/15/2010
District of Columbia 07/08/2010
Florida 01/08/2004
Georgia 07/08/2010
Hawaii 02/21/2012
Idaho 07/08/2010
Illinois 01/07/2004
Indiana 01/07/2004
Iowa 09/12/2007
Kansas 07/18/2006
Kentucky 05/02/2003
Louisiana 07/08/2010
Maine 07/08/2010
Maryland 07/08/2010
Massachusetts 07/08/2010
Michigan 01/07/2004
Minnesota 03/01/2005
Mississippi 07/08/2010
Missouri 07/18/2006
Montana 07/08/2010
Nebraska 07/18/2006
Nevada 07/08/2010
New Hampshire 07/08/2010
New Jersey 06/09/2010
New Mexico 05/25/2010
New York 07/08/2010
North Carolina 07/08/2010
North Dakota 09/11/2007
Ohio 01/07/2004
Oklahoma 09/11/2007
Oregon 07/08/2010
Pennsylvania 01/07/2004
Puerto Rico 03/18/2014
Rhode Island 07/08/2010
South Carolina 07/08/2010
South Dakota 09/11/2007
Tennessee 07/08/2010
Texas 01/07/2004
Utah 07/08/2010
Vermont 07/08/2010
Virgin Islands 12/18/2013
Virginia 07/08/2010
Washington 07/08/2010
West Virginia 09/19/2008
Wisconsin 09/02/2003

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