at


Investment Adviser Firm Summary

FTB ADVISORS, INC. (CRD# 17117 / SEC# 8-35061, 801-78594)
Alternate Names: FIRST HORIZON INVESTMENT SERVICES, A DIVISION OF FIRST TENNESSEE BROKERAGE, INC. , FIRST TENNESSEE BROKERAGE, INC. , FIRST TENNESSEE DISCOUNT BROKERAGE, INC. , FTB ADVISORS, 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 05/31/2013
Arizona Terminated 05/28/2004
Arkansas Terminated 05/25/2004
California Terminated 06/15/2004
Delaware Terminated 05/28/2004
Georgia Terminated 05/28/2004
Maryland Terminated 07/13/2004
Missouri Terminated 05/28/2004
New Jersey Terminated 03/29/2007
North Carolina Terminated 06/24/2004
Pennsylvania Terminated 07/12/2004
Tennessee Terminated 08/14/2004
Texas Terminated 07/15/2004
Virginia Terminated 07/22/2004
Washington Terminated 08/29/2002

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 05/31/2013
Arizona 05/31/2013
Arkansas 05/31/2013
California 05/31/2013
Colorado 05/31/2013
District of Columbia 03/30/2018
Florida 09/17/2013
Georgia 05/31/2013
Illinois 09/17/2013
Indiana 05/31/2013
Kentucky 05/31/2013
Louisiana 05/31/2013
Maryland 05/31/2013
Massachusetts 03/30/2016
Michigan 05/31/2013
Mississippi 05/31/2013
Missouri 05/31/2013
Nebraska 06/30/2016
New Hampshire 03/31/2017
New Jersey 09/26/2013
New York 09/16/2013
North Carolina 05/31/2013
Ohio 05/31/2013
Oklahoma 09/26/2013
Pennsylvania 05/31/2013
South Carolina 05/31/2013
South Dakota 11/15/2016
Tennessee 05/31/2013
Texas 05/31/2013
Virginia 05/31/2013
Washington 05/31/2013
Wisconsin 05/31/2013

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