Investment Adviser Firm Summary

TICKER TOCKER, LLC (CRD# 289111 / SEC# 801-112772)
Alternate Names: TICKER TOCKER, LLC

The adviser's REGISTRATION status is listed below.


SEC 120-Day Approval 04/02/2018


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 04/02/2018
Alaska 04/02/2018
Arizona 04/02/2018
Arkansas 04/02/2018
California 04/02/2018
Colorado 04/02/2018
Connecticut 04/02/2018
Delaware 04/02/2018
District of Columbia 04/02/2018
Florida 04/02/2018
Georgia 04/02/2018
Hawaii 04/02/2018
Idaho 04/02/2018
Illinois 04/02/2018
Indiana 04/02/2018
Iowa 04/02/2018
Kansas 04/02/2018
Kentucky 04/02/2018
Louisiana 04/02/2018
Maine 04/02/2018
Maryland 04/02/2018
Massachusetts 04/02/2018
Michigan 04/02/2018
Minnesota 04/02/2018
Mississippi 04/02/2018
Missouri 04/02/2018
Montana 04/02/2018
Nebraska 04/02/2018
Nevada 04/02/2018
New Hampshire 04/02/2018
New Jersey 04/12/2018
New Mexico 04/02/2018
New York 04/02/2018
North Carolina 04/02/2018
North Dakota 04/02/2018
Ohio 04/02/2018
Oklahoma 04/02/2018
Oregon 04/02/2018
Pennsylvania 04/02/2018
Puerto Rico 04/02/2018
Rhode Island 04/02/2018
South Carolina 04/02/2018
South Dakota 04/02/2018
Tennessee 04/02/2018
Texas 04/02/2018
Utah 04/02/2018
Vermont 04/02/2018
Virgin Islands 04/02/2018
Virginia 04/02/2018
Washington 04/02/2018
West Virginia 04/02/2018
Wisconsin 04/02/2018


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