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Investment Adviser Firm Summary

ROPES WEALTH ADVISORS LLC (CRD# 168615 / SEC# 801-80238)
Alternate Names: ROPES WEALTH , ROPES WEALTH ADVISORS , ROPES WEALTH ADVISORS LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 09/15/2014

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 01/13/2015
Alaska 01/13/2015
Arizona 01/13/2015
Arkansas 01/13/2015
California 01/13/2015
Colorado 01/13/2015
Connecticut 01/13/2015
Delaware 01/13/2015
District of Columbia 01/13/2015
Florida 01/13/2015
Georgia 01/13/2015
Hawaii 01/13/2015
Idaho 01/13/2015
Illinois 01/14/2015
Indiana 01/13/2015
Iowa 01/13/2015
Kansas 01/13/2015
Kentucky 01/13/2015
Louisiana 01/13/2015
Maine 01/13/2015
Maryland 01/13/2015
Massachusetts 09/15/2014
Michigan 01/13/2015
Minnesota 01/13/2015
Mississippi 01/13/2015
Missouri 01/13/2015
Montana 01/13/2015
Nebraska 01/13/2015
Nevada 01/13/2015
New Hampshire 01/13/2015
New Jersey 01/29/2015
New Mexico 01/13/2015
New York 01/13/2015
North Carolina 01/13/2015
North Dakota 01/13/2015
Ohio 01/13/2015
Oklahoma 01/13/2015
Oregon 01/13/2015
Pennsylvania 01/13/2015
Puerto Rico 01/13/2015
Rhode Island 01/13/2015
South Carolina 01/13/2015
South Dakota 01/13/2015
Tennessee 01/13/2015
Texas 01/13/2015
Utah 01/13/2015
Vermont 01/13/2015
Virginia 01/13/2015
Washington 01/13/2015
West Virginia 01/13/2015
Wisconsin 01/13/2015
Wyoming 03/29/2018

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