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Investment Adviser Firm Summary

ASSOCIATED INVESTMENT SERVICES, INC. (CRD# 1464 / SEC# 8-99, 801-71639)
Alternate Names: ASSOCIATED , ASSOCIATED INVESTMENT SERVICES GROUP , ASSOCIATED INVESTMENT SERVICES GROUP, INC. , ASSOCIATED INVESTMENT SERVICES, INC. , ASSOCIATED WEALTH MANAGEMENT

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 07/01/2010
Illinois Terminated 07/01/2010
Minnesota Terminated 07/21/2010
Wisconsin Terminated 07/20/2010

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
Arizona 05/25/2017
Florida 12/07/2012
Illinois 07/01/2010
Louisiana 07/13/2012
Michigan 05/09/2012
Minnesota 07/01/2010
Missouri 07/11/2017
Texas 09/17/2010
Wisconsin 07/01/2010

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