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Investment Adviser Firm Summary

WALL STREET ACCESS ASSET MANAGEMENT, LLC (CRD# 126021 / SEC# 801-62029)
Alternate Names: BATTERY PARK CAPITAL , KELLEHER FAMILY WEALTH MANAGEMENT , NU PARADIGM INVESTMENT PARTNERS , STARBOARD ADVISORS , WALL STREET ACCESS ADVANCED STRATEGIES, LLC , WALL STREET ACCESS ASSET MANAGEMENT, LLC , WALL STREET ACCESS WEALTH MANAGEMENT , WALL STREET ADVISORS LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 06/09/2003

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
Arizona 01/11/2010
California 08/12/2004
Colorado 07/28/2009
Connecticut 07/28/2009
District of Columbia 07/28/2009
Florida 07/29/2009
Georgia 02/09/2016
Kentucky 12/10/2015
Maine 10/10/2017
Maryland 07/28/2009
Massachusetts 08/11/2009
Michigan 02/09/2016
New Hampshire 01/11/2010
New Jersey 07/07/2003
New York 05/09/2003
Pennsylvania 07/24/2009
Texas 01/11/2010
Virginia 07/28/2009

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