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Investment Adviser Firm Summary
OPPENHEIMER ASSET MANAGEMENT ( CRD # 105559/SEC#:801-31427 )
HUDSON CAPITAL ADVISORS INC, WALTERMAN FINANCIAL MANAGEMENT, OPPENHEIMER ASSET MANAGEMENT INC., OPPENHEIMER ASSET MANAGEMENT INC, OPPENHEIMER ASSET MANAGEMENT
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved3/17/1988
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.

JURISDICTIONEFFECTIVE DATE
Alabama2/13/2004
Alaska2/13/2004
Arizona2/13/2004
Arkansas2/18/2004
California3/28/2003
Colorado3/31/2003
Connecticut9/12/2002
Delaware2/13/2004
District of Columbia9/12/2002
Florida9/13/2002
Georgia9/12/2002
Hawaii2/13/2004
Idaho2/13/2004
Illinois4/1/2003
Indiana2/13/2004
Iowa9/12/2002
Kansas2/13/2004
Kentucky2/13/2004
Louisiana2/13/2004
Maine2/13/2004
Maryland9/12/2002
Massachusetts9/12/2002
Michigan2/13/2004
Minnesota3/3/2004
Mississippi2/13/2004
Missouri3/28/2003
Montana3/31/2003
Nebraska2/13/2004
Nevada3/31/2003
New Hampshire2/13/2004
New Jersey9/12/2002
New Mexico2/13/2004
New York9/12/2002
North Carolina9/12/2002
North Dakota3/19/2019
Ohio2/13/2004
Oklahoma4/21/2003
Oregon3/31/2003
Pennsylvania9/12/2002
Puerto Rico2/13/2004
Rhode Island2/13/2004
South Carolina3/31/2003
South Dakota3/19/2019
Tennessee2/16/2004
Texas9/12/2002
Utah3/19/2019
Vermont3/31/2003
Virgin Islands2/23/2021
Virginia9/12/2002
Washington3/28/2003
West Virginia3/19/2019
Wisconsin2/13/2004
Wyoming3/19/2019
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
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.