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Investment Adviser Firm Summary

PROEQUITIES INC (CRD# 15708 / SEC# 8-32590, 801-56010)
Alternate Names: INVESTMENT ADVISORS , PROEQUITIES INC , PROEQUITIES, INC. , PROTECTIVE EQUITY SERVICES, INC.

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 11/20/1998

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 03/29/2001
Alaska 02/12/2014
Arizona 01/07/2002
Arkansas 09/28/1994
California 01/06/1999
Colorado 01/01/1999
Connecticut 01/04/1999
Delaware 06/25/2002
District of Columbia 08/11/1998
Florida 02/15/1986
Georgia 10/05/1994
Hawaii 10/24/2007
Idaho 07/13/2001
Illinois 11/04/1994
Indiana 01/01/1991
Iowa 01/01/1999
Kansas 11/03/1998
Kentucky 01/31/2006
Louisiana 10/15/2001
Maine 11/23/1994
Maryland 02/21/1995
Massachusetts 02/06/2006
Michigan 03/29/2001
Minnesota 01/13/1995
Mississippi 03/29/2001
Missouri 01/05/1999
Montana 07/13/2001
Nebraska 07/13/2001
Nevada 07/13/2001
New Hampshire 06/01/1994
New Jersey 08/19/1994
New Mexico 07/27/2001
New York 06/28/1994
North Carolina 03/29/2001
North Dakota 07/25/1994
Ohio 08/16/1999
Oklahoma 01/01/1999
Oregon 02/21/2002
Pennsylvania 02/20/1987
Rhode Island 01/03/1995
South Carolina 01/03/1994
South Dakota 10/05/1994
Tennessee 02/09/1999
Texas 07/23/1996
Utah 09/23/1994
Vermont 04/28/2000
Virgin Islands 10/24/2007
Virginia 10/17/1994
Washington 01/01/1995
West Virginia 05/23/1994
Wisconsin 06/23/1994

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