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Investment Adviser Firm Summary

MOORS & CABOT, INC. (CRD# 594 / SEC# 8-23060, 801-48726)
Alternate Names: MOORS & CABOT FINANCIAL ADVISORS , MOORS & CABOT, INC , MOORS & CABOT, 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 03/30/1995

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 09/18/2015
California 07/19/2002
Colorado 01/03/2007
Connecticut 01/25/2006
District of Columbia 03/06/2012
Florida 10/04/2000
Georgia 01/03/2007
Illinois 03/10/2006
Indiana 08/01/2014
Iowa 08/01/2014
Louisiana 03/10/2006
Maine 01/03/2007
Maryland 03/06/2012
Michigan 01/03/2007
Minnesota 09/23/2016
Missouri 09/18/2015
New Hampshire 10/05/2004
New Jersey 01/16/2007
New Mexico 10/19/2016
New York 01/07/2003
North Carolina 01/07/2003
Ohio 01/07/2003
Oklahoma 03/10/2006
Oregon 03/06/2012
Pennsylvania 01/03/2007
Rhode Island 01/03/2007
South Carolina 01/03/2007
Tennessee 09/29/2006
Texas 03/10/2006
Vermont 01/03/2007
Virginia 01/03/2007
Washington 09/18/2015
Wisconsin 09/18/2013

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