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Investment Adviser Firm Summary

SIMMONS FIRST INVESTMENT GROUP, INC. (CRD# 47439 / SEC# 8-51795, 801-108161)
Alternate Names: DELTA TRUST INVESTMENTS, INC. , J.F. HILL & COMPANY, INC. , SIMMONS FIRST INVESTMENT GROUP, INC. , SIMMONS WEALTH MANAGEMENT

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 08/09/2016
Arkansas Terminated 08/15/2016
California Terminated 09/14/2016
Louisiana Terminated 08/22/2016
Missouri Terminated 08/15/2016
New Jersey Terminated 08/23/2016
Tennessee Terminated 08/15/2016
Texas Terminated 08/15/2016

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 03/30/2017
Arkansas 08/11/2016
California 08/11/2016
Connecticut 03/30/2017
Florida 03/30/2017
Illinois 03/30/2017
Kansas 08/11/2016
Kentucky 08/11/2016
Louisiana 08/11/2016
Massachusetts 03/30/2017
Minnesota 03/06/2017
Mississippi 03/30/2017
Missouri 08/11/2016
New Jersey 08/23/2016
New York 03/30/2017
North Carolina 03/30/2017
Ohio 03/30/2017
Oklahoma 08/11/2016
South Carolina 03/30/2017
Tennessee 08/11/2016
Texas 08/11/2016
Virginia 03/30/2017
Washington 04/25/2018

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