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Investment Adviser Firm Summary

SIGNAL SECURITIES, INC. (CRD# 15916 / SEC# 8-32948, 801-63630)
Alternate Names: SIGNAL SECURITIES, 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 11/04/2004
Arizona Terminated 11/05/2004
California Terminated 11/05/2004
Colorado Cancelled 12/12/2001
Louisiana Terminated 11/05/2004
Michigan Terminated 12/15/2004
Missouri Terminated 11/05/2004
Texas Terminated 09/16/2005
Wisconsin Terminated 11/05/2004

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 11/04/2004
Arkansas 02/11/2008
California 07/08/1997
Colorado 04/12/2011
Florida 04/27/2005
Georgia 04/09/2012
Louisiana 11/04/2004
Massachusetts 01/29/2010
Michigan 11/04/2004
Missouri 11/04/2004
Nevada 02/02/2015
New Jersey 05/08/2013
Ohio 04/12/2011
Oklahoma 08/10/2005
South Dakota 05/05/2008
Texas 06/17/2005
Virginia 01/19/2018
Wyoming 01/25/2018

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