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Investment Adviser Firm Summary

JOEL ISAACSON & CO., LLC (CRD# 152450 / SEC# 801-70880)
Alternate Names: JOEL ISAACSON & CO. , JOEL ISAACSON & CO., LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 12/17/2009
Texas Terminated 12/19/2012

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 12/01/2010
California 12/18/2009
Colorado 02/06/2014
Connecticut 12/18/2009
District of Columbia 12/01/2010
Florida 12/21/2009
Georgia 12/18/2009
Maryland 11/26/2014
Massachusetts 12/18/2009
New Jersey 01/20/2010
New York 12/18/2009
Pennsylvania 12/18/2009
Texas 12/18/2012

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