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Investment Adviser Firm Summary
BARINGS LLC ( CRD # 106006/SEC#:801-241 )
BABSON CAPITAL MANAGEMENT LLC, DAVID L. BABSON & COMPANY INC., BARINGS LLC
View latest Form ADV filedPart 2 Brochures

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved11/1/1940
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
Alabama3/22/1994
Alaska6/17/1994
Arizona6/28/1994
Arkansas4/28/1994
California1/1/1970
Colorado3/31/2010
Connecticut1/29/2001
Delaware7/24/2003
District of Columbia1/29/2001
Florida6/15/1996
Georgia1/29/2001
Hawaii1/3/1995
Idaho6/27/1994
Illinois8/23/1967
Indiana1/29/2001
Iowa1/29/2001
Kansas1/29/2001
Kentucky1/29/2001
Louisiana10/20/1993
Maine1/29/2001
Maryland6/20/1991
Massachusetts1/24/2003
Michigan11/14/1997
Minnesota1/29/2001
Mississippi1/29/2001
Missouri1/29/2001
Montana1/29/2001
Nebraska1/29/2001
Nevada5/26/1994
New Hampshire1/29/2001
New Jersey1/29/2001
New Mexico1/29/2001
New York12/19/1973
North Carolina1/29/2001
North Dakota1/29/2001
Ohio1/29/2001
Oklahoma1/29/2001
Oregon10/19/2001
Pennsylvania3/24/1942
Rhode Island1/1/1993
South Carolina2/15/1994
South Dakota1/29/2001
Tennessee1/29/2001
Texas9/15/1966
Utah5/5/1992
Vermont1/29/2001
Virginia7/16/1991
Washington8/28/1991
West Virginia6/1/1994
Wisconsin5/3/1999
Wyoming3/29/2019
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
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.