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Investment Adviser Firm Summary

NORTHERN OAK WEALTH MANAGEMENT. INC (CRD# 105435 / SEC# 801-11335)
Alternate Names: HAKER INVESTMENT MANAGEMENT INC , HAKER ZELLMER INVESTMENT MANAGEMENT INC , HAKER ZELLMER INVESTMENT MANAGEMENT, INC. , NORTHERN OAK CAPITAL MANAGEMENT, INC. , NORTHERN OAK WEALTH MANAGEMENT. INC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/13/1976

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 03/06/2009
Alaska 03/12/2010
Arizona 11/09/2010
Arkansas 03/06/2009
California 01/13/2011
Colorado 11/08/2010
Connecticut 01/13/2011
Delaware 01/18/2011
Florida 03/04/1993
Georgia 03/06/2009
Hawaii 01/13/2011
Idaho 11/03/2010
Illinois 05/21/1993
Indiana 01/13/2011
Iowa 03/09/2009
Kansas 03/06/2009
Kentucky 09/07/2007
Louisiana 06/16/2010
Maine 01/13/2011
Maryland 01/13/2011
Massachusetts 01/13/2011
Michigan 09/07/2007
Minnesota 03/06/2009
Mississippi 06/16/2010
Missouri 03/06/2009
Montana 01/13/2011
Nebraska 03/06/2009
Nevada 01/13/2011
New Hampshire 01/13/2011
New Jersey 01/25/2011
New Mexico 09/21/2007
New York 07/13/2010
North Carolina 11/09/2010
North Dakota 03/06/2009
Ohio 09/07/2007
Oklahoma 03/06/2009
Oregon 01/13/2011
Pennsylvania 01/13/2011
Puerto Rico 03/05/2012
Rhode Island 01/13/2011
South Carolina 01/13/2011
South Dakota 03/09/2009
Tennessee 03/09/2009
Texas 06/16/2010
Utah 01/13/2011
Vermont 02/01/2011
Virgin Islands 09/24/2012
Virginia 01/13/2011
Washington 01/07/2011
West Virginia 10/28/2010
Wisconsin 07/08/1997
Wyoming 04/20/2018

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