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Investment Adviser Firm Summary

HERITAGE INVESTMENT GROUP, INC. (CRD# 113204 / SEC# 801-60396)
Alternate Names: HERITAGE INVESTMENT GROUP, INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/16/2001

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 04/06/2005
Arkansas 04/11/2005
California 05/03/2002
Colorado 09/18/2008
Connecticut 07/12/2013
Delaware 04/25/2005
District of Columbia 04/06/2005
Florida 07/16/2001
Georgia 04/06/2005
Hawaii 04/20/2016
Louisiana 04/06/2005
Maine 11/22/2010
Maryland 04/06/2005
Massachusetts 05/29/2009
Michigan 04/08/2008
Mississippi 04/06/2005
New Jersey 06/23/2009
New York 07/12/2013
North Carolina 05/03/2002
Ohio 07/12/2013
Pennsylvania 07/12/2013
South Carolina 04/06/2005
Tennessee 04/07/2005
Texas 04/06/2005
Virginia 04/06/2005
Wisconsin 07/18/2008

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