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Investment Adviser Firm Summary

SHUFRO, ROSE & CO., LLC (CRD# 3403 / SEC# 8-4024, 801-977)
Alternate Names: SHUFRO ROSE , SHUFRO, ROSE & CO., LLC , SHUFRO, ROSE & EHRMAN , SHUFRO, ROSE & EHRMAN, LLC , SHUFROROSE

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 04/07/1955

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 10/02/1997
Alaska 02/09/1998
Arizona 04/30/2002
Arkansas 09/30/1997
California 07/08/1997
Colorado 04/30/2002
Connecticut 01/14/1998
Delaware 06/19/1992
District of Columbia 06/09/1994
Florida 02/09/1987
Georgia 06/27/1994
Hawaii 01/30/1998
Idaho 08/09/1994
Illinois 05/12/1983
Indiana 02/05/2001
Iowa 05/06/2002
Kansas 01/30/1998
Kentucky 02/03/1998
Louisiana 10/16/2001
Maine 01/26/1995
Maryland 01/01/1993
Massachusetts 04/30/2002
Michigan 04/17/1998
Minnesota 06/23/1992
Mississippi 01/30/1998
Missouri 08/19/1991
Montana 01/01/1999
Nebraska 02/02/1998
Nevada 06/28/1994
New Hampshire 01/01/1993
New Jersey 06/03/1977
New Mexico 07/17/1992
New York 01/11/1978
North Carolina 01/24/2001
North Dakota 10/18/1994
Ohio 04/30/2002
Oklahoma 12/03/1997
Oregon 02/05/1998
Pennsylvania 10/27/1981
Puerto Rico 07/08/1998
Rhode Island 01/01/1993
South Carolina 09/25/1992
South Dakota 05/27/1994
Tennessee 10/02/1997
Texas 10/22/1997
Utah 05/09/1994
Vermont 11/14/1994
Virginia 07/01/1994
Washington 02/20/1998
West Virginia 02/03/1998
Wisconsin 02/02/1998

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