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Investment Adviser Firm Summary

ALLEN & COMPANY OF FLORIDA, INC. (CRD# 25 / SEC# 8-9877, 801-57874)
Alternate Names: ALLEN & COMPANY OF FLORIDA, 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 08/21/2000

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 01/30/2008
California 01/30/2006
Colorado 01/30/2008
Delaware 02/06/2006
Florida 09/24/1998
Georgia 01/30/2006
Illinois 01/31/2008
Indiana 01/30/2008
Kentucky 01/30/2006
Louisiana 01/07/2010
Maryland 01/22/2009
Michigan 01/30/2008
Mississippi 01/07/2010
Missouri 01/07/2010
Montana 01/30/2006
New Hampshire 01/30/2008
New Jersey 02/04/2008
New Mexico 01/30/2008
New York 01/30/2006
North Carolina 01/30/2006
North Dakota 01/30/2006
Ohio 01/30/2006
Pennsylvania 01/30/2006
South Carolina 01/30/2008
Tennessee 01/07/2010
Texas 01/30/2006
Utah 01/22/2009
Virginia 01/30/2008
Washington 01/30/2006
West Virginia 01/30/2006
Wisconsin 01/30/2008

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