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Investment Adviser Firm Summary
R.T. JONES CAPITAL EQUITIES MANAGEMENT INC. ( CRD # 131804/SEC#:801-63242 )
ARTESYS, R.T. JONES CAPITAL EQUITIES 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
SECApproved7/9/2004
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
Alabama3/25/2009
Arizona8/3/2004
Arkansas1/30/2014
California8/3/2004
Colorado3/25/2009
Connecticut1/25/2012
Delaware3/18/2011
District of Columbia7/9/2004
Florida8/4/2004
Georgia1/31/2012
Hawaii3/27/2015
Idaho3/25/2011
Illinois7/14/2004
Indiana8/3/2004
Iowa10/5/2011
Kansas12/3/2012
Kentucky3/18/2011
Louisiana3/18/2011
Maine9/19/2018
Maryland7/9/2004
Massachusetts3/13/2012
Michigan7/9/2004
Minnesota8/10/2004
Mississippi5/12/2014
Missouri7/9/2004
Montana5/12/2014
Nebraska7/9/2004
Nevada3/16/2012
New Hampshire1/28/2015
New Jersey8/17/2004
New Mexico10/15/2009
New York11/17/2011
North Carolina1/31/2012
North Dakota5/24/2013
Ohio4/8/2011
Oklahoma12/3/2012
Oregon6/21/2011
Pennsylvania3/18/2011
South Carolina4/8/2011
Tennessee8/4/2004
Texas8/3/2004
Utah8/24/2009
Virginia3/18/2011
Washington3/18/2011
West Virginia4/10/2012
Wisconsin7/18/2013
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.