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Investment Adviser Firm Summary

CANTELLA & CO., INC. (CRD# 13905 / SEC# 8-23904, 801-60841)
Alternate Names: CANTELLA & CO., INC. , CANTELLA INSURANCE AGENCY, INC. , CANTELLA SPECIALIST CORP (CEASED BUSINESS 1/31/2002)

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 03/28/2002
Hawaii Terminated 04/24/2002

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 05/20/2003
Alaska 02/04/2005
Arizona 06/01/2004
Arkansas 02/01/2005
California 04/22/2002
Colorado 04/23/2002
Connecticut 04/10/2002
Delaware 02/08/2005
District of Columbia 06/01/2004
Florida 01/22/2003
Georgia 04/29/2002
Hawaii 03/28/2002
Idaho 03/04/2003
Illinois 04/11/2002
Indiana 04/30/2003
Iowa 02/07/2005
Kansas 01/31/2005
Kentucky 07/03/2003
Louisiana 03/24/2003
Maine 01/21/2003
Maryland 01/21/2003
Massachusetts 07/11/2002
Michigan 04/30/2003
Minnesota 05/07/2003
Mississippi 01/31/2005
Missouri 06/01/2004
Montana 01/31/2005
Nebraska 01/31/2005
Nevada 01/31/2005
New Hampshire 04/11/2002
New Jersey 04/10/2002
New Mexico 01/31/2005
New York 04/10/2002
North Carolina 04/30/2003
North Dakota 01/31/2005
Ohio 04/10/2002
Oklahoma 06/01/2004
Oregon 06/01/2004
Pennsylvania 04/10/2002
Rhode Island 04/10/2002
South Carolina 01/21/2003
South Dakota 01/04/2005
Tennessee 05/01/2003
Texas 04/30/2003
Utah 01/31/2005
Vermont 05/05/2003
Virgin Islands 02/25/2008
Virginia 07/01/2003
Washington 09/28/2004
West Virginia 01/31/2005
Wisconsin 06/01/2004

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