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Investment Adviser Firm Summary

UMPQUA INVESTMENTS, INC. (CRD# 1254 / SEC# 8-2915, 801-67179)
Alternate Names: BLAKELY, STRAND & WILLIAMS, INC. , STRAND, ATKINSON, WILLIAMS & YORK INC. , STRAND, ATKINSON, WILLIAMS & YORK, INC. , UMPQUA ASSIST , UMPQUA INVESTMENTS, INC. , UMPQUA WEALTH ADVISORY

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 09/28/2006

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
Alaska 04/09/2010
Arizona 07/10/2007
Arkansas 01/04/2016
California 09/28/2006
Colorado 04/09/2010
Connecticut 04/09/2010
Delaware 06/27/2013
District of Columbia 07/10/2007
Florida 06/17/2015
Georgia 04/09/2010
Hawaii 12/01/2011
Idaho 07/10/2007
Illinois 04/12/2010
Indiana 04/09/2010
Iowa 02/10/2016
Kansas 04/09/2010
Kentucky 10/12/2018
Louisiana 07/01/2015
Maryland 04/09/2010
Massachusetts 04/09/2010
Michigan 01/28/2015
Minnesota 08/31/2015
Mississippi 07/10/2007
Missouri 12/01/2011
Montana 08/04/2010
Nevada 04/09/2010
New Hampshire 12/04/2013
New Jersey 04/09/2010
New Mexico 08/16/2010
New York 04/09/2010
North Carolina 07/10/2007
Ohio 06/18/2015
Oklahoma 06/18/2015
Oregon 09/28/2006
Pennsylvania 04/09/2010
Rhode Island 07/02/2010
South Dakota 08/31/2015
Tennessee 02/16/2018
Texas 04/09/2010
Utah 06/27/2013
Virginia 04/09/2010
Washington 09/28/2006
Wisconsin 04/09/2010

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