Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Investment Adviser Firm Summary
ZACKS INVESTMENT MANAGEMENT, INC. ( CRD # 110897/SEC#:801-40592 )
ZACKS INVESTMENT MANAGEMENT, INC.
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved1/17/1992
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
Alabama7/7/2006
Alaska6/30/2006
Arizona9/8/2004
Arkansas8/1/2006
California9/8/2004
Colorado9/8/2004
Connecticut5/18/2001
Delaware8/9/2006
District of Columbia7/28/2006
Florida5/18/2001
Georgia9/8/2004
Hawaii7/28/2006
Idaho7/28/2006
Illinois5/18/2001
Indiana9/8/2004
Iowa6/27/2006
Kansas7/28/2006
Kentucky7/28/2006
Louisiana7/28/2006
Maine6/27/2006
Maryland9/8/2004
Massachusetts9/8/2004
Michigan9/8/2004
Minnesota9/14/2004
Mississippi7/28/2006
Missouri9/8/2004
Montana7/28/2006
Nebraska7/28/2006
Nevada9/8/2004
New Hampshire9/8/2004
New Jersey9/21/2004
New Mexico6/27/2006
New York9/8/2004
North Carolina9/8/2004
North Dakota7/28/2006
Ohio9/8/2004
Oklahoma7/28/2006
Oregon9/8/2004
Pennsylvania9/8/2004
Puerto Rico7/28/2006
Rhode Island7/28/2006
South Carolina9/8/2004
South Dakota8/1/2006
Tennessee9/9/2004
Texas9/8/2004
Utah9/8/2004
Vermont9/8/2004
Virginia9/8/2004
Washington9/8/2004
West Virginia7/28/2006
Wisconsin9/8/2004
Wyoming5/29/2018
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
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.