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Investment Adviser Firm Summary

CARRET ASSET MANAGEMENT, LLC (CRD# 131445 / SEC# 801-63093)
Alternate Names: CARRET ASSET MANAGEMENT, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/17/2004

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
Alabama 06/07/2004
Alaska 10/03/2008
Arizona 06/07/2004
Arkansas 10/03/2008
California 06/07/2004
Colorado 06/07/2004
Connecticut 06/07/2004
Delaware 10/15/2008
District of Columbia 06/07/2004
Florida 06/08/2004
Georgia 06/07/2004
Hawaii 06/07/2004
Idaho 10/03/2008
Illinois 07/02/2004
Indiana 06/07/2004
Iowa 10/09/2008
Kansas 06/07/2004
Kentucky 06/07/2004
Louisiana 06/07/2004
Maine 06/07/2004
Maryland 06/07/2004
Massachusetts 06/07/2004
Michigan 06/07/2004
Minnesota 06/15/2004
Mississippi 06/07/2004
Missouri 06/07/2004
Montana 06/07/2004
Nebraska 10/03/2008
Nevada 06/07/2004
New Hampshire 06/07/2004
New Jersey 06/28/2004
New Mexico 06/07/2004
New York 05/17/2004
North Carolina 06/07/2004
North Dakota 06/07/2004
Ohio 06/07/2004
Oklahoma 06/07/2004
Oregon 06/07/2004
Pennsylvania 06/07/2004
Puerto Rico 10/03/2008
Rhode Island 06/07/2004
South Carolina 06/07/2004
South Dakota 10/06/2008
Tennessee 06/08/2004
Texas 06/07/2004
Utah 10/03/2008
Vermont 06/07/2004
Virgin Islands 10/03/2008
Virginia 06/07/2004
Washington 06/07/2004
West Virginia 06/07/2004
Wisconsin 06/07/2004
Wyoming 03/28/2018

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