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Investment Adviser Firm Summary
CIBC PRIVATE WEALTH ADVISORS, INC. ( CRD # 109644/SEC#:801-57986 )
AT INVESTMENT ADVISERS, INC., STEIN ROE INVESTMENT COUNSEL,LLC, STEIN ROE INVESTMENT COUNSEL, INC., STEIN ROE INVESTMENT COUNSEL LLC, CIBC PRIVATE WEALTH MANAGEMENT…

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved10/27/2000
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
Alabama4/15/2004
Alaska4/16/2004
Arizona1/1/2001
Arkansas4/19/2004
California1/1/2001
Colorado4/15/2004
Connecticut1/2/2001
Delaware4/19/2004
District of Columbia2/15/2001
Florida1/5/2001
Georgia12/11/2000
Hawaii12/12/2000
Idaho4/15/2004
Illinois12/22/2000
Indiana4/15/2004
Iowa1/1/2001
Kansas1/2/2001
Kentucky12/27/2000
Louisiana4/15/2004
Maine2/15/2001
Maryland1/1/2001
Massachusetts12/8/2000
Michigan12/13/2000
Minnesota1/2/2001
Mississippi4/15/2004
Missouri1/1/2001
Montana4/15/2004
Nebraska4/15/2004
Nevada1/2/2001
New Hampshire1/1/2001
New Jersey12/22/2000
New Mexico2/22/1991
New York12/11/2000
North Carolina2/23/2001
North Dakota4/15/2004
Ohio1/1/2001
Oklahoma4/15/2004
Oregon12/27/2000
Pennsylvania1/2/2001
Puerto Rico8/19/2020
Rhode Island1/1/2001
South Carolina1/10/2001
South Dakota4/19/2004
Tennessee1/1/2001
Texas1/1/2001
Utah4/15/2004
Vermont1/2/2001
Virgin Islands6/27/2013
Virginia1/1/2001
Washington12/18/2000
West Virginia4/15/2004
Wisconsin12/11/2000
Wyoming9/1/2017
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
B
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.