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Investment Adviser Firm Summary

BROWN ADVISORY SECURITIES, LLC (CRD# 120736 / SEC# 8-65342, 801-61427)
Alternate Names: BROWN ADVISORY SECURITIES, LLC , BROWNIA SECURITIES, LLC

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/06/2002

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
Arizona 09/06/2002
Arkansas 03/30/2015
California 09/06/2002
Colorado 03/30/2017
Connecticut 09/06/2002
Delaware 03/30/2012
District of Columbia 09/06/2002
Florida 09/09/2002
Georgia 09/06/2002
Illinois 04/24/2013
Kansas 03/30/2017
Kentucky 03/30/2017
Louisiana 03/30/2017
Maine 03/30/2017
Maryland 09/06/2002
Massachusetts 09/06/2002
Michigan 03/30/2015
Minnesota 03/30/2017
Missouri 03/30/2017
Montana 03/30/2017
Nebraska 03/30/2017
Nevada 03/31/2011
New Hampshire 03/30/2017
New Jersey 10/30/2002
New Mexico 03/30/2017
New York 10/09/2002
North Carolina 03/30/2012
Ohio 03/30/2015
Oregon 03/30/2017
Pennsylvania 09/06/2002
Rhode Island 03/30/2017
South Carolina 04/01/2013
Tennessee 03/30/2017
Texas 03/31/2011
Utah 03/30/2017
Vermont 03/30/2017
Virginia 09/06/2002
Washington 03/30/2005
West Virginia 03/30/2012
Wisconsin 03/30/2017

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