at


Investment Adviser Firm Summary

INGALLS & SNYDER LLC (CRD# 2288 / SEC# 8-1865, 801-5016)
Alternate Names: INGALLS & SNYDER , INGALLS & SNYDER LLC , INGALLS & SNYDER, LLC

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 08/21/1968
Vermont Terminated 11/06/2001

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 11/26/2008
Arizona 10/05/2006
California 07/08/1997
Colorado 11/19/2007
Connecticut 12/04/1998
Delaware 10/12/2006
District of Columbia 12/03/2002
Florida 11/16/1994
Georgia 06/05/2000
Idaho 12/17/2014
Illinois 11/29/1994
Indiana 12/26/2017
Iowa 12/01/2008
Kansas 12/17/2014
Kentucky 12/20/2013
Louisiana 12/03/2002
Maine 02/15/2001
Maryland 12/03/2004
Massachusetts 12/14/2001
Michigan 11/19/2007
Minnesota 10/17/2006
Missouri 12/17/2014
Montana 10/05/2006
Nevada 12/17/2014
New Hampshire 04/06/1994
New Jersey 12/23/1993
New Mexico 10/05/2006
New York 01/01/1974
North Carolina 12/03/2004
Ohio 04/26/2000
Oklahoma 10/05/2006
Oregon 11/26/2008
Pennsylvania 01/04/1999
Rhode Island 10/05/2006
South Carolina 03/19/2001
Tennessee 12/06/2004
Texas 12/03/2004
Utah 01/03/2017
Vermont 06/06/2001
Virginia 01/04/1996
Washington 10/05/2006
Wisconsin 10/05/2006
Wyoming 12/26/2017

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