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Investment Adviser Firm Summary

PHILLIPS AND COMPANY ADVISORS LLC (CRD# 167214 / SEC# 801-63879)
Alternate Names: PHILLIPS AND COMPANY , PHILLIPS AND COMPANY ADVISORS LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/31/2011

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 01/02/2014
Alaska 02/18/2005
Arizona 02/18/2005
Arkansas 01/02/2014
California 04/27/2004
Colorado 02/18/2005
Connecticut 01/02/2014
Florida 03/10/2005
Georgia 09/30/2010
Hawaii 01/02/2014
Idaho 02/18/2005
Illinois 02/18/2005
Indiana 02/18/2005
Iowa 03/02/2005
Kansas 02/18/2005
Kentucky 02/18/2005
Maryland 02/18/2005
Massachusetts 01/02/2014
Michigan 02/18/2005
Minnesota 04/04/2005
Mississippi 03/09/2005
Missouri 02/18/2005
Montana 02/18/2005
Nebraska 02/18/2005
Nevada 02/18/2005
New Jersey 03/23/2005
New Mexico 02/18/2005
New York 02/18/2005
North Carolina 02/18/2005
North Dakota 02/18/2005
Ohio 02/18/2005
Oklahoma 02/18/2005
Oregon 02/18/2005
Pennsylvania 02/18/2005
Rhode Island 01/02/2014
South Carolina 01/02/2014
South Dakota 03/03/2005
Tennessee 01/02/2014
Texas 02/18/2005
Utah 02/18/2005
Washington 02/18/2005
Wisconsin 02/18/2005

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