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Investment Adviser Firm Summary

WADDELL & REED, INC. (CRD# 866 / SEC# 8-27030, 801-16720)
Alternate Names: WADDELL & REED , WADDELL & REED, 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 01/15/1982

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 08/02/1991
Alaska 01/06/1997
Arizona 03/30/2004
Arkansas 01/02/1997
California 07/08/1997
Colorado 01/01/1999
Connecticut 08/18/1997
Delaware 07/14/2003
District of Columbia 01/01/1997
Florida 09/23/1996
Georgia 12/23/1996
Hawaii 06/05/1997
Idaho 01/08/1997
Illinois 01/23/1997
Indiana 02/04/2001
Iowa 01/01/1999
Kansas 07/01/1997
Kentucky 07/14/2003
Louisiana 10/18/2001
Maine 01/01/1997
Maryland 02/24/1997
Michigan 03/30/2004
Minnesota 09/01/1999
Mississippi 10/01/1997
Missouri 05/17/1989
Montana 12/16/1997
Nebraska 07/31/1997
Nevada 01/12/1994
New Hampshire 01/23/1997
New Jersey 12/12/1996
New Mexico 01/16/1997
New York 06/07/1999
North Carolina 12/18/2000
North Dakota 01/20/1997
Ohio 06/01/1999
Oklahoma 01/01/1998
Oregon 03/30/2004
Pennsylvania 03/27/2002
Puerto Rico 01/11/2000
Rhode Island 02/21/1997
South Carolina 01/07/1997
South Dakota 12/23/1996
Tennessee 10/17/1997
Texas 04/05/1950
Utah 06/24/1997
Vermont 02/24/1997
Virgin Islands 05/11/2007
Virginia 01/09/1997
Washington 02/22/1990
West Virginia 09/22/1997
Wisconsin 01/02/1997
Wyoming 07/03/2017

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