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Investment Adviser Firm Summary

PEOPLE'S SECURITIES, INC. (CRD# 13704 / SEC# 8-29667, 801-63122)
Alternate Names: GERSTEIN FISHER , GERSTEIN FISHER ASSET MANAGEMENT , OLSON MOBECK , OLSON MOBECK INVESTMENT ADVISORS , PEOPLE'S FINANCIAL ADVISORS , PEOPLE'S SECURITIES, INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/14/2004
Connecticut Terminated 09/14/2004

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
Alaska 03/21/2012
Arizona 03/26/2010
California 05/31/2006
Colorado 02/21/2006
Connecticut 05/14/2004
Delaware 03/14/2013
District of Columbia 03/31/2017
Florida 07/14/2005
Georgia 03/26/2010
Idaho 03/26/2010
Illinois 04/05/2014
Indiana 03/28/2014
Kentucky 03/31/2017
Louisiana 11/13/2013
Maine 03/10/2009
Maryland 09/21/2012
Massachusetts 05/31/2006
Michigan 05/23/2016
Minnesota 05/19/2016
Mississippi 06/11/2014
Nebraska 08/24/2016
Nevada 09/21/2016
New Hampshire 05/31/2006
New Jersey 03/26/2010
New York 03/28/2007
North Carolina 03/26/2010
Ohio 10/19/2015
Oregon 03/31/2017
Pennsylvania 03/20/2008
Rhode Island 03/14/2013
South Carolina 03/26/2010
Tennessee 01/22/2014
Texas 07/11/2005
Utah 03/26/2010
Vermont 05/31/2006
Virginia 05/31/2006
Washington 03/31/2017
Wisconsin 12/21/2015

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