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Investment Adviser Firm Summary

CLEARY GULL ADVISORS INC. (CRD# 125557 / SEC# 801-61862)
Alternate Names: CLEARY GULL ADVISORS INC. , MBO CLEARY ADVISORS INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 03/04/2003

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
Arizona 05/02/2016
California 05/02/2016
Colorado 05/02/2016
Florida 07/07/2003
Georgia 05/02/2016
Illinois 05/03/2016
Indiana 05/02/2016
Louisiana 08/11/2016
Michigan 05/02/2016
Minnesota 05/02/2016
Mississippi 10/27/2008
Nebraska 08/11/2016
Nevada 05/02/2016
New Hampshire 08/11/2016
New Jersey 05/17/2016
New Mexico 05/02/2016
New York 07/03/2003
North Carolina 05/02/2016
Ohio 05/02/2016
Pennsylvania 03/29/2018
South Carolina 05/02/2016
Tennessee 05/02/2016
Texas 05/02/2016
Virginia 05/02/2016
Washington 05/02/2016
Wisconsin 07/03/2003

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