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
ENVESTNET PMC ( CRD # 111694/SEC#:801-57260 )
ENVESTNET ADVISORY CORP., QRG, ENVESTNETPMC, INC., ENVESTNET | PMC, ENVESTNET | PLACEMARK…
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
SECApproved2/10/2000
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
Alabama5/23/2002
Alaska5/24/2002
Arizona1/30/2002
Arkansas5/28/2002
California9/6/2001
Colorado9/6/2001
Connecticut5/13/2002
Delaware6/27/2003
District of Columbia5/24/2002
Florida11/2/2001
Georgia9/6/2001
Hawaii5/23/2002
Idaho5/23/2002
Illinois6/8/2000
Indiana9/6/2001
Iowa9/10/2001
Kansas9/6/2001
Kentucky9/6/2001
Louisiana5/23/2002
Maine5/23/2002
Maryland5/23/2002
Massachusetts9/6/2001
Michigan9/6/2001
Minnesota5/30/2002
Mississippi5/23/2002
Missouri9/6/2001
Montana5/23/2002
Nebraska5/23/2002
Nevada5/23/2002
New Hampshire9/6/2001
New Jersey5/23/2002
New Mexico5/31/2002
New York6/12/2000
North Carolina2/27/2002
North Dakota5/23/2002
Ohio9/6/2001
Oklahoma3/29/2002
Oregon5/23/2002
Pennsylvania4/23/2002
Puerto Rico5/23/2002
Rhode Island5/23/2002
South Carolina5/23/2002
South Dakota5/28/2002
Tennessee1/31/2002
Texas6/22/2000
Utah5/24/2002
Vermont6/22/2000
Virgin Islands7/2/2010
Virginia9/6/2001
Washington2/27/2002
West Virginia5/28/2002
Wisconsin1/30/2002
Wyoming3/16/2018
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.