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Current Employers
Osaic Institutions, Inc.

538 Preston Avenue, Meriden, CT 06450-4858 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2011-06-09
  • WI RA
    APPROVED
    Since 2011-06-09

Branch Locations

1700 W. 20Th Avenue, Oshkosh, WI 54903 • United States

51 East First Street, Fond Du Lac, WI 54936 • United States

101 S. Madison Street, Waupun, WI 53936 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fox Valley Savings Bank Fond Du Lac WI 05/1998 Present
Infinex Investments, Inc. Fond Du Lac WI 06/2011 Present
  • 05/1998 → Present
    Fox Valley Savings Bank
    Fond Du Lac, WI
  • 06/2011 → Present
    Infinex Investments, Inc.
    Fond Du Lac, WI
Previous Registrations
  • 2005-08-30 → 2011-06-01
    Capital Financial Services, Inc.
    Minot, ND
    Fond Du Lac, WI
    Oshkosh, WI
    Waupun, WI
Other Businesses

FOX VALLEY BANK, 51 E 1ST ST, FOND DU LAC, WI 54935 -FIXED INSURANCE SALES, VP/OFFICER, START DATE 5/1998 - HOURS DEVOTED: 1/4 OF FULL WORK WEEK - HOURS DEVOTED DURING TRADING HOURS: 1/8 OF FULL WORK WEEK, YES INVESTMENT RELATED. VP/OFFICER,MAY 1998VARIOUS COMMITTEES, INVESTMENT GROUP, BOD

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-12-23
S63 Uniform Securities Agent State Law Examination 1996-12-20
  • S65 Uniform Investment Adviser Law Examination
    1996-12-23
  • S63 Uniform Securities Agent State Law Examination
    1996-12-20
Other Names
  • Jim Ziebarth
  • James T Ziebarth

View on SEC IAPD

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