at


Investment Adviser Firm Summary

OPPENHEIMER & CO. INC. (CRD# 249 / SEC# 8-4077, 801-887)
Alternate Names: CAROLAN DIVISION OF OPPENHEIMER & CO. INC. , CRANBROOK CAPITAL MANAGEMENT, INC. , EDWARD A. VINER & CO., INC. , FAHNESTOCK & CO. INC. , FAHNESTOCK & CO., INC. , FAHNESTOCK ASSET MANAGEMENT , FAHNESTOCK ASSET MANAGEMENT DIVISION OF OPPENHEIMER & CO. INC. , FAHNESTOCK DIVISION OF OPPENHEIMER & CO. INC. , FIRST OF MICHIGAN DIVISION , NEWBOLD'S INVESTMENT ADVISORS , OMEGA SERVICES PROGRAM , OPPENHEIMER & CO. INC. , PEARL STREET INVESTMENT MANAGEMENT , DIVISION OF OPPENHEIMER & C , REPARIAN PARTNERS, DIVISION OF OPPENHEIMER & CO. INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/09/1955

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 01/10/2003
Alaska 01/10/2003
Arizona 04/19/2002
Arkansas 01/10/2003
California 07/08/1997
Colorado 01/10/2003
Connecticut 12/08/1998
Delaware 09/05/2003
District of Columbia 01/10/2003
Florida 02/13/1990
Georgia 01/10/2003
Hawaii 01/10/2003
Idaho 01/10/2003
Illinois 01/19/1989
Indiana 01/10/2003
Iowa 01/10/2003
Kansas 01/10/2003
Kentucky 01/10/2003
Louisiana 10/05/2001
Maine 11/11/1994
Maryland 01/10/2003
Massachusetts 05/12/1994
Michigan 01/10/2003
Minnesota 01/10/2003
Mississippi 01/10/2003
Missouri 01/10/2003
Montana 01/10/2003
Nebraska 01/10/2003
Nevada 01/15/1998
New Hampshire 06/24/1992
New Jersey 01/10/2003
New Mexico 06/20/1994
New York 01/01/1984
North Carolina 01/08/2001
North Dakota 01/10/2003
Ohio 02/03/2003
Oklahoma 01/10/2003
Oregon 01/10/2003
Pennsylvania 01/02/2003
Puerto Rico 01/10/2003
Rhode Island 01/07/2003
South Carolina 01/10/2003
South Dakota 01/09/2003
Tennessee 01/10/2003
Texas 01/02/2003
Utah 01/10/2003
Vermont 12/31/1995
Virginia 04/20/1994
Washington 01/10/2003
West Virginia 05/13/1994
Wisconsin 02/22/2000

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