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Investment Adviser Firm Summary

WORKMAN SECURITIES CORPORATION (CRD# 31898 / SEC# 8-45573, 801-65758)
Alternate Names: WORKMAN SECURITIES ADVISORY SERVICES , WORKMAN SECURITIES CORPORATION


The investment adviser you have selected is NOT currently registered and is NOT filing reports with the SEC or any state.

(Last Form ADV Filed On 09/28/2011)
This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Terminated 10/02/2006
Arizona Terminated 10/04/2011
California Terminated 11/03/2011
Colorado Terminated 10/06/2011
Connecticut Terminated 10/04/2011
Florida Terminated 10/04/2011
Georgia Terminated 10/05/2011
Illinois Terminated 10/04/2011
Indiana Terminated 10/05/2011
Iowa Terminated 10/04/2011
Louisiana Terminated 11/03/2011
Maine Terminated 01/19/2012
Maryland Terminated 10/24/2011
Massachusetts Terminated 10/04/2011
Minnesota Terminated 10/04/2011
Missouri Terminated 10/04/2011
Nebraska Terminated 10/14/2011
Nevada Terminated 11/16/2011
New Hampshire Terminated 10/04/2011
New Jersey Terminated 10/11/2011
New Mexico Terminated 10/04/2011
New York Terminated 10/04/2011
North Carolina Terminated 10/04/2011
North Dakota Terminated 10/11/2011
Ohio Terminated 10/04/2011
Oregon Terminated 10/12/2011
Pennsylvania Terminated 06/04/2012
Rhode Island Terminated 10/04/2011
South Carolina Terminated 10/04/2011
South Dakota Terminated 10/04/2011
Tennessee Terminated 11/03/2011
Texas Terminated 10/04/2011
Utah Terminated 10/12/2011
Washington Terminated 10/04/2011
Wisconsin Terminated 10/04/2011

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.


Not Currently Notice Filed


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