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Investment Adviser Firm Summary

FORESTERS EQUITY SERVICES, INC. (CRD# 18464 / SEC# 8-36703, 801-77880)
Alternate Names: FORESTERS EQUITY SERVICES, INC. , FORESTERS SECURITIES, 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 04/18/2013
Arizona Terminated 04/19/2013
California Terminated 04/16/2014
Colorado Terminated 05/06/2013
Delaware Terminated 05/09/2013
Florida Terminated 05/03/2013
Georgia Terminated 04/19/2013
Idaho Terminated 04/25/2013
Illinois Terminated 04/18/2013
Indiana Terminated 05/15/2013
Iowa Terminated 04/19/2013
Maryland Terminated 05/20/2013
Michigan Terminated 05/09/2013
Missouri Terminated 04/19/2013
New Hampshire Terminated 09/18/2013
New Jersey Terminated 05/10/2013
New York Terminated 05/03/2013
North Carolina Terminated 05/03/2013
Ohio Terminated 05/06/2013
Oregon Terminated 04/29/2013
Pennsylvania Terminated 05/07/2013
South Carolina Terminated 05/03/2013
Tennessee Terminated 05/19/2013
Texas Terminated 05/03/2013
Utah Terminated 05/23/2013
Virginia Terminated 05/03/2013
Wisconsin Terminated 04/19/2013

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 04/24/2013
Alaska 04/24/2013
Arizona 04/24/2013
Arkansas 04/24/2013
California 04/18/2013
Colorado 04/18/2013
Connecticut 04/24/2013
Delaware 04/18/2013
District of Columbia 04/24/2013
Florida 04/18/2013
Georgia 04/24/2013
Hawaii 04/24/2013
Idaho 04/24/2013
Illinois 04/18/2013
Indiana 04/18/2013
Iowa 04/24/2013
Kansas 04/24/2013
Kentucky 04/24/2013
Louisiana 04/24/2013
Maine 04/24/2013
Maryland 04/18/2013
Massachusetts 04/18/2013
Michigan 04/18/2013
Minnesota 04/24/2013
Mississippi 04/24/2013
Missouri 04/24/2013
Montana 04/24/2013
Nebraska 04/24/2013
Nevada 04/24/2013
New Hampshire 04/18/2013
New Jersey 05/10/2013
New Mexico 04/18/2013
New York 04/18/2013
North Carolina 04/18/2013
North Dakota 04/24/2013
Ohio 04/18/2013
Oklahoma 04/24/2013
Oregon 04/24/2013
Pennsylvania 04/18/2013
Rhode Island 04/24/2013
South Carolina 04/18/2013
South Dakota 04/24/2013
Tennessee 04/24/2013
Texas 04/18/2013
Utah 04/24/2013
Vermont 04/24/2013
Virgin Islands 04/24/2013
Virginia 04/18/2013
Washington 04/24/2013
West Virginia 04/24/2013
Wisconsin 04/24/2013

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