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Investment Adviser Firm Summary

GREENWICH INVESTMENT MANAGEMENT, INC. (CRD# 127161 / SEC# 801-67774)
Alternate Names: GREENWICH INVESTMENT MANAGEMENT, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 06/21/2007
Connecticut Terminated 02/07/2008

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 06/21/2007
California 06/21/2007
Connecticut 05/21/2007
Florida 06/21/2007
Illinois 07/19/2007
Kentucky 05/09/2014
Louisiana 04/01/2013
Maine 06/23/2011
Massachusetts 05/21/2007
Michigan 03/26/2015
Missouri 01/31/2008
New Hampshire 06/23/2011
New Jersey 06/21/2007
New York 05/21/2007
North Carolina 12/18/2009
Ohio 04/17/2014
Pennsylvania 12/10/2010
Rhode Island 11/30/2009
Texas 04/01/2013
Vermont 12/18/2009
Wisconsin 12/18/2009

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