Investment Adviser Firm Summary

TICKER TOCKER, LLC (CRD# 289111 / SEC# 801-113549)
Alternate Names: TICKER TOCKER, LLC

The adviser's REGISTRATION status is listed below.


SEC 120-Day Approval 07/03/2018


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.

Alabama 07/03/2018
Alaska 07/03/2018
Arizona 07/03/2018
Arkansas 07/03/2018
California 07/03/2018
Colorado 07/03/2018
Connecticut 07/03/2018
Delaware 07/03/2018
District of Columbia 07/03/2018
Florida 07/03/2018
Georgia 07/03/2018
Hawaii 07/03/2018
Idaho 07/03/2018
Illinois 07/03/2018
Indiana 07/03/2018
Iowa 07/03/2018
Kansas 07/03/2018
Kentucky 07/03/2018
Louisiana 07/03/2018
Maine 07/03/2018
Maryland 07/03/2018
Massachusetts 07/03/2018
Michigan 07/03/2018
Minnesota 07/03/2018
Mississippi 07/03/2018
Missouri 07/03/2018
Montana 07/03/2018
Nebraska 07/03/2018
Nevada 07/03/2018
New Hampshire 07/03/2018
New Jersey 07/06/2018
New Mexico 07/03/2018
New York 07/03/2018
North Carolina 07/03/2018
North Dakota 07/03/2018
Ohio 07/03/2018
Oklahoma 07/03/2018
Oregon 07/03/2018
Pennsylvania 07/03/2018
Puerto Rico 07/03/2018
Rhode Island 07/03/2018
South Carolina 07/03/2018
South Dakota 07/03/2018
Tennessee 07/03/2018
Texas 07/03/2018
Utah 07/03/2018
Vermont 07/03/2018
Virgin Islands 07/03/2018
Virginia 07/03/2018
Washington 07/03/2018
West Virginia 07/03/2018
Wisconsin 07/03/2018


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