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Investment Adviser Firm Summary

STEPHEN A. KOHN & ASSOCIATES, LTD. (CRD# 41067 / SEC# 8-49279)
Alternate Names: STEPHEN A. KOHN & ASSOCIATES, LTD.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
Arizona Approved 03/01/2004
Arkansas Terminated 12/31/2004
California Approved 11/14/2002
Colorado Approved 01/01/1999
District of Columbia Terminated 10/18/2001
Georgia Terminated 10/18/2001
Idaho Terminated 12/31/2005
Illinois Terminated 12/31/2004
Maine Terminated 09/05/2003
Maryland Terminated 10/18/2001
Massachusetts Terminated 02/15/2002
Michigan Terminated 12/31/2001
Mississippi Terminated 10/18/2001
Nevada Terminated 12/31/2004
New Mexico Terminated 12/31/2004
North Carolina Terminated 12/31/2004
Ohio Terminated 10/18/2001
Oregon Terminated 10/18/2001
Texas Terminated 10/18/2001
Washington Approved 06/14/2004

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