at


Investment Adviser Firm Summary

WILEY BROS.-AINTREE CAPITAL, LLC (CRD# 3767 / SEC# 8-3774, 801-37145)
Alternate Names: WILEY BROS. INC. , WILEY BROS.-AINTREE CAPITAL, LLC , WILEY BROS.-AINTREE, LLC

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 10/25/1990

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 07/17/1996
Arizona 02/04/2003
Arkansas 08/27/2007
California 02/15/2005
Colorado 02/15/2005
Connecticut 08/27/2007
Florida 08/02/1993
Georgia 11/21/1995
Illinois 09/11/2007
Indiana 12/02/2010
Kansas 08/27/2007
Kentucky 07/09/2003
Louisiana 11/28/2006
Maryland 07/15/2008
Minnesota 09/18/2007
Mississippi 06/18/2002
Missouri 04/04/2018
Montana 04/04/2018
Nevada 12/13/2017
New Mexico 08/27/2007
New York 08/27/2007
North Carolina 10/17/2002
Ohio 09/10/2008
Oklahoma 08/27/2007
Oregon 04/04/2018
Pennsylvania 08/27/2007
South Carolina 11/17/2006
Tennessee 08/29/2000
Texas 12/16/2003
Virginia 03/13/2007

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