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Investment Adviser Firm Summary

CUTTER AND COMPANY BROKERAGE, INC. (CRD# 22449 / SEC# 8-39590, 801-62329)
Alternate Names: CUTTER & COMPANY, INC. , CUTTER AND COMPANY BROKERAGE, 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 09/08/2003
Illinois Terminated 09/12/2003
Kansas Terminated 09/12/2003
Missouri Terminated 09/12/2003

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
Arizona 03/26/2013
California 05/05/2005
Florida 07/21/2004
Georgia 04/13/2005
Illinois 09/08/2003
Indiana 08/04/2010
Iowa 01/13/2006
Kansas 09/08/2003
Kentucky 05/09/2008
Louisiana 03/29/2012
Maryland 06/19/2017
Massachusetts 01/04/2010
Michigan 01/04/2018
Missouri 09/08/2003
New Hampshire 03/29/2012
New Jersey 10/30/2014
New York 01/13/2006
North Carolina 01/04/2016
Ohio 03/20/2009
Pennsylvania 10/16/2014
South Carolina 03/26/2013
Texas 09/08/2003
Utah 12/06/2017
Washington 01/04/2018

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