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Investment Adviser Firm Summary

L.M. KOHN & COMPANY (CRD# 27913 / SEC# 8-43303, 801-38116)
Alternate Names: KOHN FINANCIAL CORPORATION , L.M. KOHN & COMPANY

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 01/18/1991

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 07/31/2008
Arizona 02/10/2004
California 01/16/2004
Colorado 02/10/2004
Connecticut 12/26/2017
Delaware 02/06/2014
Florida 04/11/2001
Georgia 03/02/2004
Illinois 03/01/2000
Indiana 08/11/2003
Iowa 02/18/2003
Kansas 09/03/2002
Kentucky 12/21/2000
Louisiana 03/02/2004
Maine 01/02/2003
Maryland 08/31/2004
Massachusetts 01/02/2018
Michigan 07/10/2012
Missouri 02/24/2003
Nevada 02/10/2004
New Hampshire 01/20/2006
New Jersey 05/01/2012
New York 01/02/2003
North Carolina 02/10/2004
Ohio 11/04/1999
Pennsylvania 12/20/2001
South Carolina 02/10/2012
Tennessee 06/08/1998
Texas 03/24/2003
Virginia 03/04/2004
Washington 02/10/2004
West Virginia 01/20/2006

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