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Investment Adviser Firm Summary

AMERICAN RESEARCH & MANAGEMENT COMPANY (CRD# 6080 / SEC# 8-16846, 801-14979)
Alternate Names: AMERICAN RESEARCH & MANAGEMENT CO , AMERICAN RESEARCH & MANAGEMENT COMPANY , AMERICAN RESEARCH MANAGEMENT COMPANY , PAULSEN SECURITIES, 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 12/28/1979
California Cancelled 02/09/2004

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
California 02/09/2004
Colorado 03/02/2011
Connecticut 09/26/1997
Florida 01/07/2008
Maine 11/08/2010
Maryland 11/08/2010
Massachusetts 11/08/2010
Michigan 01/24/2006
Montana 02/12/2003
New Hampshire 02/12/2003
New Jersey 01/14/2008
New Mexico 06/15/2006
New York 01/04/2008
Ohio 01/24/2006
Pennsylvania 05/22/2002
Rhode Island 06/04/2001
Texas 03/02/2011
Vermont 08/10/2006
Virginia 05/22/2002
Washington 02/12/2003

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