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Investment Adviser Firm Summary

SPECTRUM ASSET MANAGEMENT, INC. (CRD# 18217 / SEC# 8-36472, 801-30405)
Alternate Names: MCCARROLL & CO., INC. , PRINCIPAL GLOBAL INVESTORS , SPECTRUM ASSET MANAGEMENT, 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 09/28/1987

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 04/12/2006
Alaska 04/13/2006
Arizona 04/12/2006
Arkansas 04/17/2006
California 04/08/1998
Colorado 08/17/2006
Connecticut 09/18/1997
Delaware 04/18/2006
District of Columbia 04/12/2006
Florida 06/01/1988
Georgia 04/12/2006
Hawaii 04/12/2006
Idaho 04/12/2006
Illinois 04/13/2006
Indiana 04/12/2006
Iowa 02/14/2005
Kansas 04/12/2006
Kentucky 04/12/2006
Louisiana 04/20/2006
Maine 04/12/2006
Maryland 04/12/2006
Massachusetts 04/12/2006
Michigan 04/12/2006
Minnesota 04/24/2006
Mississippi 04/12/2006
Missouri 04/12/2006
Montana 04/12/2006
Nebraska 04/12/2006
Nevada 04/12/2006
New Hampshire 04/12/2006
New Jersey 10/14/1997
New Mexico 04/12/2006
New York 03/26/2003
North Carolina 04/12/2006
North Dakota 04/12/2006
Ohio 02/10/2005
Oklahoma 04/12/2006
Oregon 04/12/2006
Pennsylvania 04/12/2006
Puerto Rico 04/12/2006
Rhode Island 04/12/2006
South Carolina 04/12/2006
South Dakota 04/18/2006
Tennessee 04/13/2006
Texas 01/02/1988
Utah 04/12/2006
Vermont 04/12/2006
Virginia 04/12/2006
Washington 04/12/2006
West Virginia 04/12/2006
Wisconsin 04/12/2006
Wyoming 08/03/2017

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