at


Investment Adviser Firm Summary

ROTHSCHILD INVESTMENT CORPORATION (CRD# 728 / SEC# 8-16429, 801-7395)
Alternate Names: ROTHSCHILD INVESTMENT CORPORATION

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 05/30/1971

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
Arizona 11/05/2003
Arkansas 01/14/2008
California 07/08/1997
Colorado 07/17/2003
Connecticut 06/26/2014
Florida 12/28/1992
Georgia 06/28/2005
Hawaii 02/26/2003
Illinois 05/19/1980
Indiana 06/28/2005
Kentucky 07/17/2003
Maryland 06/15/2006
Massachusetts 07/17/2003
Michigan 06/24/2004
Minnesota 12/04/1995
Missouri 06/15/2006
Montana 06/15/2006
New Jersey 10/19/1995
New Mexico 06/28/2005
New York 06/24/2004
North Carolina 07/17/2003
Ohio 06/15/2006
Oklahoma 06/28/2005
Oregon 02/26/2003
Pennsylvania 07/17/2003
South Carolina 01/13/2011
Texas 07/17/2003
Utah 06/15/2006
Virginia 06/15/2006
Washington 06/28/2005
Wisconsin 04/25/1995

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