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Investment Adviser Firm Summary

SCOTTRADE INVESTMENT MANAGEMENT, INC. (CRD# 169988 / SEC# 801-79217)
Alternate Names: SCOTTRADE INVESTMENT MANAGEMENT , SCOTTRADE INVESTMENT MANAGEMENT, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/21/2014

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 11/21/2014
Alaska 11/21/2014
Arizona 06/11/2014
Arkansas 11/21/2014
California 05/16/2014
Colorado 05/16/2014
Connecticut 11/21/2014
Delaware 11/21/2014
District of Columbia 11/21/2014
Florida 05/16/2014
Georgia 05/16/2014
Hawaii 11/21/2014
Idaho 11/21/2014
Illinois 05/27/2014
Indiana 11/21/2014
Iowa 11/21/2014
Kansas 06/11/2014
Kentucky 11/21/2014
Louisiana 11/21/2014
Maine 11/21/2014
Maryland 11/21/2014
Massachusetts 11/21/2014
Michigan 05/16/2014
Minnesota 06/11/2014
Mississippi 11/21/2014
Missouri 02/21/2014
Montana 11/21/2014
Nebraska 11/21/2014
Nevada 11/21/2014
New Hampshire 11/21/2014
New Jersey 06/18/2014
New Mexico 11/21/2014
New York 05/16/2014
North Carolina 11/21/2014
North Dakota 11/21/2014
Ohio 05/16/2014
Oklahoma 11/21/2014
Oregon 05/16/2014
Pennsylvania 11/21/2014
Rhode Island 11/21/2014
South Carolina 11/21/2014
South Dakota 11/21/2014
Tennessee 11/21/2014
Texas 05/16/2014
Utah 11/21/2014
Vermont 11/21/2014
Virgin Islands 11/21/2014
Virginia 11/21/2014
Washington 05/16/2014
West Virginia 11/21/2014
Wisconsin 06/11/2014

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