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Investment Adviser Firm Summary

CLIENT ONE SECURITIES LLC (CRD# 152974 / SEC# 8-68494, 801-78158)
Alternate Names: CLIENT ONE SECURITIES LLC , CLIENT ONE SECURITIES, LLC

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 06/05/2013
Arizona Terminated 06/05/2013
Arkansas Terminated 06/05/2013
California Terminated 07/05/2013
Colorado Terminated 06/06/2013
Connecticut Terminated 06/06/2013
Delaware Terminated 06/06/2013
Florida Terminated 06/05/2013
Georgia Terminated 06/05/2013
Idaho Terminated 06/06/2013
Illinois Terminated 06/05/2013
Indiana Terminated 06/06/2013
Iowa Terminated 06/05/2013
Kansas Terminated 06/05/2013
Louisiana Terminated 06/12/2013
Maine Terminated 06/05/2013
Maryland Terminated 06/17/2013
Massachusetts Terminated 07/24/2013
Minnesota Terminated 06/05/2013
Mississippi Terminated 06/05/2013
Missouri Terminated 06/05/2013
Montana Terminated 06/05/2013
Nebraska Terminated 06/06/2013
New Jersey Terminated 06/26/2013
New York Terminated 06/05/2013
North Carolina Terminated 06/05/2013
Ohio Terminated 06/06/2013
Oklahoma Terminated 06/06/2013
South Carolina Terminated 06/05/2013
Texas Terminated 06/05/2013
Virginia Terminated 06/06/2013
West Virginia Terminated 06/05/2013
Wisconsin Terminated 06/06/2013

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 03/26/2018
Alaska 03/31/2017
Arizona 06/05/2013
Arkansas 11/26/2013
California 06/05/2013
Colorado 06/05/2013
Connecticut 06/05/2013
Delaware 11/18/2016
District of Columbia 06/05/2013
Florida 06/05/2013
Georgia 12/08/2017
Hawaii 08/14/2015
Idaho 07/18/2016
Illinois 05/02/2014
Indiana 04/15/2014
Iowa 06/05/2013
Kansas 06/05/2013
Kentucky 03/26/2018
Louisiana 07/12/2016
Maine 06/05/2013
Maryland 06/05/2013
Massachusetts 03/07/2014
Michigan 03/26/2018
Minnesota 03/07/2014
Mississippi 06/05/2013
Missouri 06/05/2013
Montana 03/26/2018
Nebraska 06/05/2013
Nevada 02/11/2016
New Hampshire 08/18/2015
New Jersey 06/26/2013
New Mexico 11/18/2016
New York 03/07/2014
North Carolina 04/27/2015
North Dakota 03/26/2018
Ohio 03/07/2014
Oklahoma 03/07/2016
Oregon 06/08/2015
Pennsylvania 06/05/2013
Rhode Island 03/26/2018
South Carolina 11/07/2014
South Dakota 08/25/2017
Tennessee 05/02/2014
Texas 06/05/2013
Utah 08/25/2017
Vermont 03/26/2018
Virginia 03/07/2014
Washington 03/07/2014
West Virginia 05/19/2015
Wisconsin 06/05/2013
Wyoming 03/26/2018

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