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Investment Adviser Firm Summary

UNIONBANC INVESTMENT SERVICES, LLC (CRD# 14455 / SEC# 8-30706, 801-70084)
Alternate Names: MARKET INVESTMENT SERVICES CORPORATION , UB INVESTMENT SERVICES, INC. , UBOC INVESTMENT SERVICES, INC. , UNION BANK OF CALIFORNIA NA , UNIONBANC INVESTMENT SERVICES, LLC , UNIONBANC SECURITIES-A DIVISION OF UNIONBANC INVESTMENT SERVICES

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 08/14/2009
California Terminated 08/28/2009
Washington Terminated 08/24/2009

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 02/14/2014
Alaska 03/30/2011
Arizona 03/09/2010
Arkansas 03/04/2015
California 12/20/2004
Colorado 03/09/2010
Connecticut 02/02/2012
Delaware 03/04/2015
District of Columbia 10/11/2013
Florida 03/11/2010
Georgia 02/02/2015
Hawaii 04/01/2013
Idaho 01/10/2013
Illinois 02/06/2012
Indiana 03/04/2015
Iowa 09/30/2014
Kansas 06/02/2014
Kentucky 03/04/2015
Louisiana 05/02/2014
Maine 03/04/2015
Maryland 03/09/2010
Massachusetts 02/02/2012
Michigan 08/22/2014
Minnesota 03/30/2012
Mississippi 03/04/2015
Missouri 02/02/2012
Montana 03/04/2015
Nebraska 03/09/2010
Nevada 03/30/2011
New Hampshire 06/02/2014
New Jersey 05/01/2012
New Mexico 04/01/2013
New York 06/02/2014
North Carolina 02/14/2014
North Dakota 03/04/2015
Ohio 03/30/2011
Oklahoma 04/15/2013
Oregon 08/14/2009
Pennsylvania 03/30/2012
Rhode Island 03/04/2015
South Carolina 03/04/2015
South Dakota 03/04/2015
Tennessee 02/02/2015
Texas 03/24/2010
Utah 09/15/2014
Vermont 03/04/2015
Virginia 10/02/2014
Washington 08/14/2009
West Virginia 03/04/2015
Wisconsin 04/15/2013
Wyoming 03/30/2018

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