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Investment Adviser Firm Summary

M. GRIFFITH INVESTMENT SERVICES, INC. (CRD# 2078 / SEC# 8-2259, 801-64649)
Alternate Names: M. GRIFFITH INC. , M. GRIFFITH INVESTMENT SERVICES, INC. , M. GRIFFITH LOCKE INVESTMENT SERVICES INC. , M. GRIFFITH, 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 09/08/2005
New York Terminated 06/07/2006

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 02/01/2016
Alaska 01/02/2014
Arizona 05/11/2011
California 05/24/2011
Colorado 12/16/2011
Connecticut 05/11/2011
Florida 03/12/2010
Georgia 05/11/2011
Illinois 08/05/2013
Indiana 05/18/2015
Iowa 10/28/2016
Kentucky 07/07/2015
Maine 12/12/2011
Maryland 11/01/2012
Massachusetts 05/11/2011
Michigan 08/30/2012
Nevada 05/06/2016
New Hampshire 05/11/2011
New Jersey 03/11/2010
New York 09/08/2005
North Carolina 05/11/2011
Ohio 03/11/2010
Oregon 05/21/2015
Pennsylvania 05/11/2011
Rhode Island 09/11/2017
South Carolina 12/10/2010
South Dakota 10/14/2016
Tennessee 12/12/2013
Texas 12/10/2010
Utah 01/03/2012
Vermont 05/11/2011
Virginia 05/11/2011
Washington 05/11/2011
West Virginia 11/02/2012

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