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Investment Adviser Firm Summary

CROWN CAPITAL SECURITIES, L.P. (CRD# 6312 / SEC# 8-17264, 801-57663)
Alternate Names: CROWN CAPITAL SECURITIES, L.P. , DELTA BROKER HOLDINGS, LLC , ERIC EQUITIES, 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 07/05/2000

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 01/03/2005
Arizona 01/16/2009
California 07/16/1999
Colorado 12/08/2000
Connecticut 03/20/2001
Florida 05/30/2012
Georgia 06/14/1999
Hawaii 04/17/2009
Illinois 05/21/2009
Indiana 01/14/2004
Iowa 01/20/2004
Kansas 01/05/2009
Kentucky 06/28/1999
Louisiana 02/13/2006
Maryland 08/23/2013
Massachusetts 05/20/2009
Michigan 09/17/2002
Minnesota 07/12/1998
Mississippi 02/07/2005
Missouri 05/16/2003
Nebraska 10/22/2003
Nevada 05/04/2001
New Jersey 06/21/2017
New Mexico 02/28/2013
New York 01/24/2003
North Carolina 08/26/2003
North Dakota 08/26/2003
Ohio 10/30/2001
Oklahoma 02/19/2003
Pennsylvania 09/17/2002
South Carolina 12/07/2011
Tennessee 09/16/1999
Texas 05/30/2002
Washington 10/13/2000
Wisconsin 10/01/2013

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