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Investment Adviser Firm Summary

MOLONEY SECURITIES ASSET MANAGEMENT LLC (CRD# 282448 / SEC# 801-107149)
Alternate Names: MOLONEY SECURITIES ASSET MANAGEMENT LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 12/31/2015

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 03/07/2017
Alaska 05/20/2016
Arizona 12/31/2015
Arkansas 05/16/2017
California 12/09/2016
Colorado 12/31/2015
Florida 01/06/2016
Georgia 12/09/2016
Hawaii 12/09/2016
Idaho 12/31/2015
Illinois 02/22/2016
Indiana 12/15/2016
Iowa 12/31/2015
Kansas 12/08/2016
Kentucky 12/09/2016
Louisiana 10/27/2017
Maine 05/19/2016
Maryland 12/09/2016
Massachusetts 12/09/2016
Michigan 12/09/2016
Minnesota 12/31/2015
Missouri 12/31/2015
Montana 12/15/2016
Nebraska 12/09/2016
Nevada 12/09/2016
New Hampshire 12/09/2016
New Jersey 12/21/2016
New Mexico 12/09/2016
New York 12/09/2016
North Carolina 12/09/2016
North Dakota 12/09/2016
Ohio 12/31/2015
Oregon 12/09/2016
Rhode Island 05/20/2016
South Carolina 06/21/2016
Tennessee 06/28/2016
Texas 12/31/2015
Utah 05/20/2016
Virginia 12/31/2015
Washington 12/31/2015
Wisconsin 12/31/2015

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