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Investment Adviser Firm Summary

TD AMERITRADE, INC. (CRD# 7870 / SEC# 8-23395, 801-60469)
Alternate Names: TD AMERITRADE, INC. , TD WATERHOUSE INVESTOR SERVICES, INC. , TD WATERHOUSE INVESTOR SERVICES, INC. , WATERHOUSE 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 08/22/2001

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 05/20/2003
Alaska 04/25/2003
Arizona 04/22/2003
Arkansas 04/24/2003
California 10/01/2002
Colorado 04/22/2003
Connecticut 04/22/2003
Delaware 09/15/2003
District of Columbia 04/22/2003
Florida 01/13/2003
Georgia 04/22/2003
Hawaii 04/22/2003
Idaho 04/22/2003
Illinois 04/28/2003
Indiana 04/22/2003
Iowa 04/22/2003
Kansas 04/22/2003
Kentucky 04/22/2003
Louisiana 04/22/2003
Maine 04/22/2003
Maryland 04/22/2003
Massachusetts 04/22/2003
Michigan 04/22/2003
Minnesota 04/30/2003
Mississippi 04/22/2003
Missouri 04/22/2003
Montana 04/22/2003
Nebraska 04/22/2003
Nevada 04/22/2003
New Hampshire 04/22/2003
New Jersey 04/01/2003
New Mexico 04/22/2003
New York 10/01/2002
North Carolina 04/22/2003
North Dakota 04/22/2003
Ohio 04/22/2003
Oklahoma 04/22/2003
Oregon 04/22/2003
Pennsylvania 04/22/2003
Puerto Rico 04/22/2003
Rhode Island 04/22/2003
South Carolina 04/22/2003
South Dakota 05/21/2003
Tennessee 04/23/2003
Texas 04/22/2003
Utah 04/22/2003
Vermont 04/22/2003
Virgin Islands 12/05/2008
Virginia 04/22/2003
Washington 04/22/2003
West Virginia 04/22/2003
Wisconsin 04/22/2003
Wyoming 09/20/2017

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