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Investment Adviser Firm Summary

STONEBRIDGE ADVISORS LLC (CRD# 134017 / SEC# 801-63899)
Alternate Names: STONEBRIDGE ADVISORS LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/18/2005

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
Alabama 09/08/2010
Alaska 03/01/2018
Arizona 08/31/2009
Arkansas 03/14/2017
California 11/28/2006
Colorado 07/07/2009
Connecticut 02/18/2005
Delaware 03/26/2014
District of Columbia 03/14/2017
Florida 12/05/2007
Georgia 07/07/2008
Hawaii 03/30/2010
Idaho 03/14/2017
Illinois 10/05/2009
Indiana 10/07/2008
Iowa 03/14/2017
Kansas 07/01/2011
Kentucky 08/31/2009
Louisiana 03/29/2012
Maine 03/14/2017
Maryland 08/31/2009
Massachusetts 03/31/2006
Michigan 08/31/2009
Minnesota 01/05/2011
Mississippi 03/01/2018
Missouri 03/14/2017
Montana 03/14/2017
Nebraska 03/26/2014
Nevada 03/26/2014
New Hampshire 03/26/2014
New Jersey 04/08/2008
New Mexico 03/26/2014
New York 09/08/2008
North Carolina 05/28/2009
North Dakota 03/01/2018
Ohio 08/04/2008
Oklahoma 08/31/2009
Oregon 03/14/2017
Pennsylvania 08/01/2007
Puerto Rico 03/01/2018
South Carolina 07/01/2011
Tennessee 01/26/2010
Texas 08/01/2007
Utah 03/26/2014
Vermont 03/14/2017
Virgin Islands 03/01/2018
Virginia 01/14/2010
Washington 03/26/2014
West Virginia 03/26/2014
Wisconsin 03/26/2014
Wyoming 03/01/2018

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