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Investment Adviser Firm Summary

KLINGMAN AND ASSOCIATES, LLC (CRD# 125618 / SEC# 801-67783)
Alternate Names: KLINGMAN AND ASSOCIATES, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 04/17/2007

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 11/05/2018
California 01/27/2009
Connecticut 04/17/2007
District of Columbia 11/05/2018
Florida 04/17/2007
Louisiana 11/07/2017
Maryland 12/21/2016
Massachusetts 04/17/2007
Nebraska 12/03/2014
New Jersey 05/01/2007
New York 04/17/2007
Pennsylvania 04/17/2007
Texas 04/17/2007
Virginia 12/21/2016

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