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Investment Adviser Firm Summary
LADENBURG THALMANN ASSET MANAGEMENT INC ( CRD # 108604/SEC#:801-54909 )
GORDON WEALTH, THE CUNDY GROUP, THE BRESLIN GROUP, LADENBURG THALMANN ASSET MANAGEMENT INC
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
SECApproved10/16/1997
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.

JURISDICTIONEFFECTIVE DATE
Alabama7/15/2004
Alaska7/16/2004
Arizona8/1/2002
Arkansas7/19/2004
California4/27/2004
Colorado7/15/2004
Connecticut7/15/2004
Delaware3/30/2020
District of Columbia7/15/2004
Florida4/28/2004
Georgia7/15/2004
Hawaii3/30/2020
Idaho7/15/2004
Illinois7/16/2004
Indiana7/15/2004
Iowa3/30/2020
Kansas7/15/2004
Kentucky7/15/2004
Louisiana7/15/2004
Maine7/15/2004
Maryland7/15/2004
Massachusetts7/15/2004
Michigan7/15/2004
Minnesota8/3/2004
Mississippi7/15/2004
Missouri7/15/2004
Montana3/29/2019
Nebraska7/15/2004
Nevada7/15/2004
New Hampshire7/15/2004
New Jersey8/4/2004
New Mexico7/15/2004
New York3/28/2001
North Carolina7/15/2004
North Dakota3/30/2020
Ohio4/27/2004
Oklahoma7/15/2004
Oregon7/15/2004
Pennsylvania3/14/2002
Puerto Rico3/31/2021
Rhode Island7/15/2004
South Carolina8/1/2002
South Dakota3/29/2019
Tennessee7/16/2004
Texas7/15/2004
Utah3/29/2019
Vermont7/15/2004
Virgin Islands12/15/2015
Virginia7/15/2004
Washington7/15/2004
West Virginia7/31/2020
Wisconsin7/15/2004
Wyoming3/29/2019
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
B
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.