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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2025-08-01 |
Branch Locations
1715 W Paradise Drive Ground Fl, West Bend, WI 53095 • United States
Pewaukee, WI • United States
20800 Swenson Dr Suite 210 [Satellite], Waukesha , WI 53186 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Menomonee Falls | WI | 10/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Menomonee Falls | WI | 11/2016 | 08/2025 |
| Wells Fargo Advisors Financial Network | Waukesha, | WI | 08/2025 | Present |
HERITAGE PRIVATE WEALTH LLC; INV. RELATED; WEST BEND, WI; 10% OWNERSHIP; FINET PRACTICE; START DATE 11/15/2024; 10 HOURS PER MONTH; 0 HOURS DURING TRADING. | WESTPHAL ASSET MANAGEMENT, LLC; INVESTMENT RELATED; WEST BEND, WI; 100% OWNERSHIP; 01/27/2025; 10 HOURS PER MONTH; NO HOURS DURING TRADING HOURS; FINET PRACTICE
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-01-31 |
| S63 | Uniform Securities Agent State Law Examination | 1999-08-13 |
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