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Investment Adviser Firm Summary

LADENBURG THALMANN ASSET MANAGEMENT INC (CRD# 108604 / SEC# 801-54909)
Alternate Names: GORDON WEALTH , LADENBURG THALMANN ASSET MANAGEMENT INC , THE CUNDY GROUP

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/16/1997

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 07/15/2004
Alaska 07/16/2004
Arizona 08/01/2002
Arkansas 07/19/2004
California 04/27/2004
Colorado 07/15/2004
Connecticut 07/15/2004
Delaware 07/15/2004
District of Columbia 07/15/2004
Florida 04/28/2004
Georgia 07/15/2004
Hawaii 07/15/2004
Idaho 07/15/2004
Illinois 07/16/2004
Indiana 07/15/2004
Iowa 07/19/2004
Kansas 07/15/2004
Kentucky 07/15/2004
Louisiana 07/15/2004
Maine 07/15/2004
Maryland 07/15/2004
Massachusetts 07/15/2004
Michigan 07/15/2004
Minnesota 08/03/2004
Mississippi 07/15/2004
Missouri 07/15/2004
Montana 07/15/2004
Nebraska 07/15/2004
Nevada 07/15/2004
New Hampshire 07/15/2004
New Jersey 08/04/2004
New Mexico 07/15/2004
New York 03/28/2001
North Carolina 07/15/2004
North Dakota 01/19/2005
Ohio 04/27/2004
Oklahoma 07/15/2004
Oregon 07/15/2004
Pennsylvania 03/14/2002
Puerto Rico 07/15/2004
Rhode Island 07/15/2004
South Carolina 08/01/2002
South Dakota 07/15/2004
Tennessee 07/16/2004
Texas 07/15/2004
Utah 07/15/2004
Vermont 07/15/2004
Virgin Islands 12/15/2015
Virginia 07/15/2004
Washington 07/15/2004
West Virginia 08/01/2002
Wisconsin 07/15/2004

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