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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2023-06-29 |
Branch Locations
14600 Branch St., Omaha, NE 68154 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-07-18 |
| WI | RA | APPROVED | 2018-07-18 |
Branch Locations
5403 Eastpark Boulevard, Madison, WI 53718 • United States
14600 Branch St., Omaha, NE 68154 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Harbour Investments, Inc. | Madison | WI | 11/2000 | 05/2018 |
| Crop Protection Group | Johnston | IA | 03/2005 | Present |
| Investment Center, Llc | Deforest | WI | 11/2000 | 05/2018 |
| Cultivate Wealth | Madison | WI | 05/2018 | Present |
| Cwm, Llc | Omaha | NE | 07/2018 | Present |
| Cetera Wealth Services, Llc | El Segundo | CA | 07/2018 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2023 | Present |
1.NAME OF OTHER BUSINESS: CWM, LLC DBA CARSON GROUP PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING, AND ADDITIONAL ADVISORY SERVICES. POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE START DATE: 05/2018 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISORY REPRESENTATIVE 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 05/2018 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, ANNUITIES AND CROP INSURANCE 3. NAME OF OTHER BUSINESS: CROP PROTECTION GROUP, LLC INVESTMENT RELATED: NO ADDRESS: W3045 DOYLE RD RIO WI NATURE OF BUSINESS: CROP INSURANCE START DATE: 02/2011 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 5 BRIEF DESCRIPTION OF DUTIES: PROVIDE RISK PROTECTION TO CROP PRODUCERS THROUGH THE FEDERAL CROP INSURANCE PROGRAM AND PRIVATE HALL POLICIES 4. NAME OF OTHER BUSINESS: PRAIRIE RIDGE HEALTH, INVESTMENT RELATED: NO, ADDRESS: 1515 PARK AVENUE COLUMBUS, WI 53925,, NATURE OF BUSINESS: NON-PROFIT, START DATE: 10/2019, POSITION/TITLE/RELATIONSHIP: BOARD OF DIRECTORS CHAIRMAN, APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 BRIEF DESCRIPTION OF DUTIES EXECUTIVE COMMITTEE MEMBER/ FINANCE COMMITTEE MEMBER PROVIDING GENERAL OVERSIGHT FOR A NON-PROFIT HEALTHCARE ORGANIZATION; 5. NAME OF OTHER BUSINESS: HOMMAN FARMS, LLC INVESTMENT RELATED: NO ADDRESS: W3045 DOYLE RD RIO, WI 53960 NATURE OF BUSINESS: FARM START DATE: 12/2013 POSITION/TITLE/RELATIONSHIP: LANDLORD / OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: LANDLORD DUTIES 6. NAME OF OTHER BUSINESS: CULTIVATE WEALTH INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 05/2018 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: OFFER FINANCIAL SERVICES; 7. NAME OF OTHER BUSINESS: STATE OF WISCONSIN NOTARY, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: NOTARY, START DATE: 05/2024, POSITION/TITLE/RELATIONSHIP: NOTARY, LESS THAN 1 HOUR PER WEEK, DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: PROVIDE COMPLIMENTARY NOTARY SERVICES TO CLIENTS;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-11-21 |
| S63 | Uniform Securities Agent State Law Examination | 2001-06-22 |
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