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Investment Adviser Firm Summary

DOUGHERTY & COMPANY LLC (CRD# 7477 / SEC# 8-21937, 801-80233)
Alternate Names: DOUGHERTY & COMPANY LLC , DOUGHERTY SUMMIT SECURITIES LLC , DOUGHERTY VALUE ADVISORS , NODAKBONDS , SUMMIT 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 09/25/2014
Arizona Terminated 10/03/2014
California Terminated 10/20/2014
Florida Terminated 10/03/2014
Iowa Terminated 10/06/2014
Minnesota Terminated 10/13/2014
North Dakota Terminated 10/03/2014
South Dakota Terminated 10/03/2014
Texas Terminated 10/03/2014
Wisconsin Terminated 10/06/2014

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 09/25/2014
California 09/25/2014
Colorado 09/25/2014
Florida 09/25/2014
Illinois 09/25/2014
Iowa 09/25/2014
Minnesota 09/25/2014
North Dakota 09/25/2014
South Dakota 09/25/2014
Texas 09/25/2014
Wisconsin 09/25/2014

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