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Investment Adviser Firm Summary

OPPENHEIMER ASSET MANAGEMENT INC. (CRD# 105559 / SEC# 801-31427)
Alternate Names: HUDSON CAPITAL ADVISORS INC , OPPENHEIMER ASSET MANAGEMENT , OPPENHEIMER ASSET MANAGEMENT INC , OPPENHEIMER ASSET MANAGEMENT INC. , WALTERMAN FINANCIAL MANAGEMENT

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 03/17/1988

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 02/13/2004
Alaska 02/13/2004
Arizona 02/13/2004
Arkansas 02/18/2004
California 03/28/2003
Colorado 03/31/2003
Connecticut 09/12/2002
Delaware 02/13/2004
District of Columbia 09/12/2002
Florida 09/13/2002
Georgia 09/12/2002
Hawaii 02/13/2004
Idaho 02/13/2004
Illinois 04/01/2003
Indiana 02/13/2004
Iowa 09/12/2002
Kansas 02/13/2004
Kentucky 02/13/2004
Louisiana 02/13/2004
Maine 02/13/2004
Maryland 09/12/2002
Massachusetts 09/12/2002
Michigan 02/13/2004
Minnesota 03/03/2004
Mississippi 02/13/2004
Missouri 03/28/2003
Montana 03/31/2003
Nebraska 02/13/2004
Nevada 03/31/2003
New Hampshire 02/13/2004
New Jersey 09/12/2002
New Mexico 02/13/2004
New York 09/12/2002
North Carolina 09/12/2002
Ohio 02/13/2004
Oklahoma 04/21/2003
Oregon 03/31/2003
Pennsylvania 09/12/2002
Puerto Rico 02/13/2004
Rhode Island 02/13/2004
South Carolina 03/31/2003
Tennessee 02/16/2004
Texas 09/12/2002
Vermont 03/31/2003
Virginia 09/12/2002
Washington 03/28/2003
Wisconsin 02/13/2004

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