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
CLEARBRIDGE INVESTMENTS, LLC ( CRD # 137028/SEC#:801-64710 )
CAM NORTH AMERICA, LLC, GLOBAL CURRENTS INVESTMENT MANAGEMENT, DAVIS SKAGGS INVESTMENT MANAGEMENT, CLEARBRIDGE INVESTMENTS, LLC, CLEARBRIDGE ADVISORS, LLC…
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
SECApproved9/30/2005
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
Alabama11/18/2005
Alaska11/25/2005
Arizona11/18/2005
Arkansas11/22/2005
California11/18/2005
Colorado11/18/2005
Connecticut11/18/2005
Delaware11/29/2005
District of Columbia11/18/2005
Florida11/21/2005
Georgia11/18/2005
Hawaii11/18/2005
Idaho11/18/2005
Illinois12/6/2005
Indiana11/18/2005
Iowa11/21/2005
Kansas11/18/2005
Kentucky11/18/2005
Louisiana11/18/2005
Maine11/18/2005
Maryland11/18/2005
Massachusetts11/18/2005
Michigan11/18/2005
Minnesota12/5/2005
Mississippi11/18/2005
Missouri11/18/2005
Montana11/18/2005
Nebraska11/18/2005
Nevada11/18/2005
New Hampshire11/18/2005
New Jersey11/29/2005
New Mexico11/18/2005
New York11/18/2005
North Carolina11/18/2005
North Dakota11/18/2005
Ohio11/18/2005
Oklahoma11/18/2005
Oregon11/18/2005
Pennsylvania11/18/2005
Puerto Rico6/20/2008
Rhode Island11/18/2005
South Carolina11/18/2005
South Dakota11/30/2005
Tennessee11/21/2005
Texas11/18/2005
Utah11/18/2005
Vermont11/18/2005
Virgin Islands6/20/2008
Virginia11/18/2005
Washington11/18/2005
West Virginia11/18/2005
Wisconsin11/18/2005
Wyoming6/28/2018
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.