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Investment Adviser Firm Summary

E*TRADE CAPITAL MANAGEMENT, LLC (CRD# 42159 / SEC# 8-49730, 801-58085)
Alternate Names: CSFBDIRECT , CSFBDIRECT LLC , CSFBDIRECT, INC. , CSFBDIRECT, LLC , DLJDIRECT INC. , E*TRADE CAPITAL MANAGEMENT, LLC , HARRIS ADVANTEDGE INVESTING , HARRIS INVESTOR SERVICES LLC , HARRISDIRECT , HARRISDIRECT ADVISORY SERVICES , HARRISDIRECT LLC , PC FINANCIAL NETWORK, INC. , THE HARRIS , THE HARRIS BROKERAGE

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 11/20/2000

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 01/11/2001
Alaska 01/02/2001
Arizona 01/01/2001
Arkansas 12/18/2000
California 12/15/2000
Colorado 08/23/2002
Connecticut 01/02/2001
Delaware 04/28/2003
District of Columbia 01/30/2001
Florida 01/01/2002
Georgia 12/15/2000
Hawaii 12/18/2000
Idaho 12/15/2000
Illinois 12/18/2000
Indiana 12/20/2000
Iowa 12/15/2000
Kansas 12/15/2000
Kentucky 11/27/2002
Louisiana 10/02/2001
Maine 02/20/2001
Maryland 01/01/2001
Massachusetts 11/27/2002
Michigan 03/28/2001
Minnesota 12/20/2000
Mississippi 12/15/2000
Missouri 12/15/2000
Montana 01/02/2001
Nebraska 01/01/2001
Nevada 01/02/2001
New Hampshire 01/01/2001
New Jersey 08/23/2002
New Mexico 01/02/2001
New York 02/21/2000
North Carolina 03/28/2001
North Dakota 12/19/2000
Ohio 01/09/2001
Oklahoma 01/10/2001
Oregon 11/27/2002
Pennsylvania 11/27/2002
Puerto Rico 11/27/2002
Rhode Island 01/01/2001
South Carolina 03/28/2001
South Dakota 12/05/2000
Tennessee 01/01/2001
Texas 04/24/1997
Utah 02/15/2000
Vermont 01/02/2001
Virgin Islands 03/10/2014
Virginia 12/19/2000
Washington 12/18/2000
West Virginia 01/01/2001
Wisconsin 12/19/2000
Wyoming 08/24/2017

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