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Investment Adviser Firm Summary

UNITED ADVISORS AMERICA CORPORATION (CRD# 147350 / SEC# 801-114134)
Alternate Names: UNITED ADVISORS AMERICA , UNITED ADVISORS AMERICA CORPORATION , UNITED ADVISORS CORPORATION

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/12/2018
Arizona Terminated 12/31/2010
Arkansas Terminated 10/29/2018
Florida Terminated 08/23/2015
Georgia Terminated 10/29/2018
Illinois Terminated 10/17/2018
Indiana Terminated 06/20/2011
Iowa Terminated 11/01/2018
Kansas Terminated 10/29/2018
Kentucky Terminated 10/29/2018
Michigan Terminated 10/30/2018
Missouri Terminated 10/29/2018
North Carolina Terminated 10/30/2018
Ohio Terminated 10/30/2018
Oklahoma Terminated 10/29/2018
Oregon Terminated 02/27/2015
Pennsylvania Terminated 10/30/2018
Tennessee Terminated 11/01/2018
Texas Terminated 10/29/2018
Virginia Terminated 10/30/2018
Washington Terminated 01/28/2015
Wisconsin Termination Requested 10/29/2018

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 10/17/2018
Arkansas 10/17/2018
Florida 10/17/2018
Georgia 10/17/2018
Illinois 10/17/2018
Iowa 10/17/2018
Kansas 10/17/2018
Kentucky 10/17/2018
Michigan 10/17/2018
Minnesota 10/17/2018
Missouri 10/17/2018
North Carolina 10/17/2018
Ohio 10/17/2018
Oklahoma 10/17/2018
Pennsylvania 10/17/2018
Tennessee 10/17/2018
Texas 10/17/2018
Virginia 10/17/2018
Wisconsin 10/17/2018

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