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Investment Adviser Firm Summary

SII INVESTMENTS, INC. (CRD# 2225 / SEC# 8-13963, 801-54935)
Alternate Names: HOMECO SECURITIES, INC. , SECURA INVESTMENTS, INC. , SII INVESTMENTS, 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 10/08/1997

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 09/20/1999
Alaska 01/30/2001
Arizona 03/01/1995
Arkansas 02/02/2001
California 07/08/1997
Colorado 06/23/1999
Connecticut 03/08/2000
Delaware 07/22/2003
District of Columbia 03/12/2001
Florida 11/14/1986
Georgia 06/17/1999
Hawaii 02/01/2001
Idaho 03/02/1999
Illinois 04/30/1998
Indiana 03/03/1998
Iowa 02/12/1999
Kansas 12/31/1997
Kentucky 11/21/2000
Louisiana 10/17/2001
Maine 03/02/2001
Maryland 10/23/2000
Massachusetts 02/02/2001
Michigan 04/17/1998
Minnesota 06/05/1998
Mississippi 06/16/1999
Missouri 12/31/1997
Montana 03/18/1999
Nebraska 08/18/1997
Nevada 02/26/1999
New Hampshire 02/02/2001
New Jersey 06/30/1997
New Mexico 03/10/2000
New York 02/17/1999
North Carolina 01/10/2000
North Dakota 02/05/2001
Ohio 03/25/1999
Oklahoma 03/08/2000
Oregon 05/23/1999
Pennsylvania 02/02/2001
Rhode Island 07/29/1999
South Carolina 03/13/2001
South Dakota 12/20/2000
Tennessee 02/22/1999
Texas 06/10/1996
Utah 02/05/2001
Vermont 02/05/2001
Virginia 02/13/2001
Washington 08/25/1998
West Virginia 03/13/2001
Wisconsin 10/02/1995
Wyoming 07/07/2017

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