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Investment Adviser Firm Summary

LESA SROUFE & COMPANY, INC. (CRD# 130232 / SEC# 801-63880)
Alternate Names: LESA SROUFE & COMPANY, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/03/2005
California Terminated 01/27/2005
Idaho Terminated 01/27/2005
Washington Terminated 01/27/2005

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 03/29/2012
Arizona 03/29/2012
California 02/06/2004
Florida 02/12/2016
Idaho 03/29/2012
Illinois 09/11/2009
Maryland 03/29/2012
New York 03/29/2012
Oregon 01/03/2005
Washington 01/03/2005

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