at


Investment Adviser Firm Summary

WASMER, SCHROEDER & COMPANY, LLC (CRD# 105323 / SEC# 801-32554)
Alternate Names: WASMER SCHROEDER & CO INC , WASMER, SCHROEDER & COMPANY, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/29/1988

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.


JURISDICTION EFFECTIVE DATE
Alabama 06/06/2008
Alaska 06/24/2014
Arizona 03/29/2010
Arkansas 09/18/2018
California 04/02/2007
Colorado 03/29/2010
Connecticut 03/14/2008
Delaware 03/24/2008
District of Columbia 04/02/2007
Florida 08/19/1988
Georgia 03/24/2003
Hawaii 08/21/2017
Idaho 09/09/2015
Illinois 04/09/2007
Indiana 12/19/2007
Iowa 06/24/2014
Kansas 03/27/2009
Kentucky 12/19/2007
Louisiana 04/02/2007
Maine 01/09/2015
Maryland 04/02/2007
Massachusetts 03/29/2006
Michigan 04/02/2007
Minnesota 03/29/2010
Missouri 03/29/2012
Montana 02/02/2017
Nebraska 04/02/2007
Nevada 01/03/2011
New Hampshire 04/02/2007
New Jersey 04/12/2007
New Mexico 03/11/2014
New York 04/02/2007
North Carolina 04/02/2007
Ohio 03/30/2004
Oklahoma 08/01/2016
Oregon 05/07/2010
Pennsylvania 12/19/2007
Rhode Island 07/21/2015
South Carolina 04/02/2007
South Dakota 04/02/2007
Tennessee 04/03/2007
Texas 04/12/2001
Utah 03/27/2013
Virginia 04/02/2007
Washington 01/03/2011
West Virginia 09/18/2018
Wisconsin 03/29/2010
Wyoming 03/26/2018

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