at


Investment Adviser Firm Summary

INVESTMENT CENTERS OF AMERICA, INC. (CRD# 16443 / SEC# 8-33983, 801-56410)
Alternate Names: FARWEST SECURITIES CORPORATION , INVESTMENT CENTERS OF AMERICA, 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 04/26/1999

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 08/17/2004
Alaska 09/10/2004
Arizona 08/11/1999
Arkansas 09/25/2003
California 07/09/1999
Colorado 06/21/1999
Connecticut 09/22/2003
Delaware 01/17/2007
District of Columbia 09/11/2001
Florida 08/17/2000
Georgia 08/03/1999
Hawaii 07/17/2006
Idaho 09/18/1997
Illinois 04/16/1999
Indiana 08/19/1999
Iowa 07/22/1999
Kansas 06/10/1998
Kentucky 03/02/2006
Louisiana 07/20/2001
Maine 03/28/2016
Maryland 02/05/2003
Massachusetts 09/19/2002
Michigan 08/03/1999
Minnesota 08/12/1999
Mississippi 08/17/2004
Missouri 08/16/1999
Montana 11/05/1997
Nebraska 08/23/1999
Nevada 11/17/1997
New Hampshire 07/21/2006
New Jersey 01/23/2001
New Mexico 09/25/1997
New York 02/27/2002
North Carolina 03/10/2004
North Dakota 07/10/1984
Ohio 08/18/2005
Oklahoma 11/02/1999
Oregon 07/30/2001
Pennsylvania 09/03/2004
Puerto Rico 03/29/2018
Rhode Island 01/09/2015
South Carolina 07/07/2004
South Dakota 08/01/1997
Tennessee 10/03/2001
Texas 03/05/1992
Utah 09/10/2004
Vermont 09/30/2009
Virginia 08/17/2004
Washington 08/16/1999
West Virginia 01/13/2004
Wisconsin 08/07/1997
Wyoming 07/07/2017

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