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Investment Adviser Firm Summary

J.J.B. HILLIARD, W.L. LYONS, LLC (CRD# 453 / SEC# 8-33133, 801-23120)
Alternate Names: HILLIARD LYONS , HILLIARD LYONS ASSET MANAGEMENT , HILLIARD LYONS INVESTMENT MANAGEMENT GROUP , HILLIARD LYONS RESEARCH ADVISORS , J.J.B HILLIARD, W.L. LYONS, LLC , J.J.B. HILLIARD, W.L. LYONS, INC , J.J.B. HILLIARD, W.L. LYONS, INC. , J.J.B. HILLIARD, W.L. LYONS, 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 12/03/1984
Arizona Cancelled 01/31/2001

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 03/30/2007
Alaska 12/01/2010
Arizona 01/31/2001
Arkansas 06/01/2001
California 07/08/1997
Colorado 03/30/2007
Connecticut 03/28/2008
District of Columbia 11/19/2012
Florida 06/06/1990
Georgia 04/01/2002
Idaho 12/01/2011
Illinois 05/17/1995
Indiana 01/31/2001
Iowa 12/08/2010
Kansas 03/28/2008
Kentucky 01/31/2001
Louisiana 12/01/2010
Maryland 01/02/2002
Massachusetts 03/28/2008
Michigan 01/31/2001
Minnesota 12/01/2010
Mississippi 01/02/2002
Missouri 03/28/2008
Montana 11/30/2009
Nevada 11/30/2009
New Hampshire 12/01/2010
New Jersey 04/07/2008
New Mexico 12/01/2011
New York 03/31/2006
North Carolina 01/31/2001
Ohio 01/31/2001
Oklahoma 12/01/2010
Oregon 11/30/2009
Pennsylvania 03/31/2006
South Carolina 06/09/2003
South Dakota 11/21/2016
Tennessee 01/15/1998
Texas 03/30/2007
Utah 12/01/2010
Virginia 01/31/2001
Washington 03/28/2008
West Virginia 08/26/1998
Wisconsin 11/30/2009

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