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Investment Adviser Firm Summary

VERITY ASSET MANAGEMENT, INC. (CRD# 158667 / SEC# 801-66730)
Alternate Names: ENCOMPASS MORE , VERITY ASSET MANAGEMENT , VERITY ASSET MANAGEMENT, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/26/2006

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 01/31/2013
Arizona 04/01/2011
Arkansas 08/09/2010
California 05/09/2013
Colorado 10/14/2011
Connecticut 01/15/2014
Florida 08/15/2006
Georgia 04/20/2007
Illinois 03/07/2014
Kentucky 05/26/2006
Louisiana 07/25/2006
Maryland 05/26/2006
Michigan 09/13/2011
New Jersey 01/29/2007
New York 05/26/2006
North Carolina 05/26/2006
Ohio 01/08/2010
Oklahoma 02/19/2013
Oregon 05/16/2012
Pennsylvania 03/01/2007
South Carolina 01/24/2007
Tennessee 08/07/2010
Texas 09/05/2006
Virginia 04/20/2007
Washington 04/09/2012
West Virginia 11/06/2014
Wisconsin 03/05/2013
Wyoming 07/18/2017

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