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Investment Adviser Firm Summary
PACIFIC INVESTMENT MANAGEMENT COMPANY LLC ( CRD # 104559/SEC#:801-48187 )
PACIFIC INVESTMENT MANAGEMENT CO LLC, PIMCO, PACIFIC INVESTMENT MANAGEMENT COMPANY LLC

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved11/14/1994
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.

JURISDICTIONEFFECTIVE DATE
Alabama3/28/2008
Alaska4/5/2007
Arizona3/27/2003
Arkansas4/2/2002
California11/14/1994
Colorado3/28/2002
Connecticut12/8/1997
Delaware3/28/2002
District of Columbia3/29/2002
Florida7/6/1992
Georgia3/10/1995
Hawaii3/30/2007
Idaho3/30/2007
Illinois5/10/1971
Indiana3/28/2002
Iowa4/10/2007
Kansas3/28/2002
Kentucky3/27/2003
Louisiana3/30/2007
Maine3/30/2007
Maryland3/28/2002
Massachusetts1/1/1998
Michigan3/28/2002
Minnesota6/18/1992
Mississippi3/30/2007
Missouri3/28/2002
Montana3/30/2007
Nebraska3/28/2002
Nevada3/30/2007
New Hampshire2/18/2010
New Jersey5/23/2002
New Mexico2/18/2010
New York7/21/2000
North Carolina3/28/2002
North Dakota2/18/2010
Ohio5/12/1999
Oklahoma3/30/2007
Oregon3/27/2003
Pennsylvania3/28/2002
Puerto Rico2/18/2010
Rhode Island3/30/2007
South Carolina3/27/2009
South Dakota4/2/2007
Tennessee3/28/2003
Texas7/18/1995
Utah3/28/2003
Vermont3/30/2007
Virgin Islands2/18/2010
Virginia10/9/1996
Washington3/28/2002
West Virginia2/18/2010
Wisconsin3/30/2007
Wyoming3/29/2018
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
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Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.