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Investment Adviser Firm Summary

GOELZER INVESTMENT MANAGEMENT, INC. (CRD# 44402 / SEC# 8-50682, 801-55588)
Alternate Names: GIM INVESTMENT SERVICES, INC. , GOELZER INVESTMENT MANAGEMENT , GOELZER INVESTMENT MANAGEMENT, 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 Approved 06/30/1998

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
Arizona 06/26/2013
California 09/10/2001
Colorado 08/13/2014
Delaware 07/17/2015
Florida 08/25/1998
Georgia 09/10/2001
Indiana 01/01/1997
Maryland 09/10/2001
Michigan 07/28/1998
Nebraska 09/11/2003
New Jersey 07/01/2010
New York 05/16/2016
Ohio 09/10/2001
South Carolina 04/04/2016
Tennessee 04/16/2007
Texas 07/02/1998
Wisconsin 04/13/2007

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