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Investment Adviser Firm Summary

GREAT AMERICAN ADVISORS, INC. (CRD# 36451 / SEC# 8-47309 )
Alternate Names: AAG SECURITIES, INC. , GREAT AMERICAN ADVISORS, INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Terminated 03/31/2012
Alabama Terminated 04/18/2008
Arizona Approved 07/19/2011
Arkansas Terminated 04/10/2008
California Terminated 04/10/2008
Colorado Terminated 04/14/2008
Connecticut Terminated 04/10/2008
Delaware Approved 04/28/2014
Georgia Approved 06/23/2011
Idaho Terminated 04/11/2008
Illinois Terminated 04/01/2008
Indiana Terminated 04/21/2008
Iowa Terminated 04/14/2008
Louisiana Terminated 06/24/2008
Massachusetts Terminated 06/17/2008
Mississippi Terminated 04/10/2008
Montana Terminated 04/10/2008
Nevada Terminated 05/14/2008
New Hampshire Terminated 04/10/2008
New Mexico Terminated 04/10/2008
North Carolina Approved 06/16/2011
North Dakota Terminated 04/14/2008
Ohio Approved 07/12/2011
Oklahoma Terminated 04/30/2008
Oregon Terminated 04/10/2008
Pennsylvania Approved 07/21/2011
Rhode Island Approved 07/20/2011
South Carolina Approved 07/28/2011
South Dakota Terminated 04/10/2008
Tennessee Terminated 05/10/2008
Texas Terminated 04/10/2008
Utah Approved 10/25/2012
Virginia Terminated 04/01/2008
Washington Terminated 04/10/2008
West Virginia Terminated 04/10/2008
Wisconsin Terminated 04/10/2008

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