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Investment Adviser Firm Summary

C.W. HENDERSON & ASSOCIATES, INC. (CRD# 108213 / SEC# 801-38064)
Alternate Names: C.W. HENDERSON & ASSOCIATES, INC. , HENDERSON C W & ASSOCIATES INC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/10/1991

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 05/03/2016
Arizona 01/01/1998
California 10/16/1997
Colorado 06/04/2007
Connecticut 02/22/1999
Delaware 02/14/2011
District of Columbia 02/07/2011
Florida 10/30/1997
Georgia 02/23/2012
Hawaii 06/28/2010
Idaho 06/28/2010
Illinois 01/10/1991
Indiana 02/07/2011
Iowa 02/23/2012
Kansas 01/28/2013
Louisiana 01/14/2004
Maryland 11/03/1997
Massachusetts 01/14/2004
Michigan 03/22/2004
Minnesota 08/29/1995
Mississippi 12/07/2009
Missouri 12/07/2009
Nevada 03/28/2007
New Hampshire 03/29/2018
New Jersey 05/04/1999
New Mexico 06/28/2010
New York 01/13/1998
North Carolina 02/12/2001
Ohio 05/03/1999
Oklahoma 02/27/2007
Oregon 01/14/2004
Pennsylvania 01/14/2004
Tennessee 02/18/2009
Texas 01/02/1998
Vermont 01/05/2005
Virginia 02/26/2003
Washington 01/24/2006
Wisconsin 10/05/1993

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