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790 N Water Street Suite 1200, Milwaukee, WI 53202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2010-06-28 |
Branch Locations
790 N Water Street Suite 1200, Milwaukee, WI 53202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Heartland Advisors, Inc. | Milwaukee | WI | 05/2010 | Present |
| Alps Distributors, Inc. | Denver | CO | 06/2010 | Present |
1. East Bay Holdings, LLC; Not Investment-Related; 4470 N Lake Dr. Milwaukee, WI 53211; Property Management; Real Estate and Transportation; 4 HRS/MON; 4 HRS/MON During Trading Hours. 2. Secure Futures; Not Investment-Related; 710 N Plankinton Ave Suite 310, Milwaukee, WI 53203; Non-Profit; 05/2018; Advisory Council Member; 1HR/MON; None During Trading Hours. 3. Heartland Advisors; Investment-Related; 790 Water St Ste 1200 Milwaukee, WI 53202; Investment Advisor; Investment Advisor Representative; 05/2010; 160 HRS/MON; 130 HRS/MON During Trading Hours; Investment Management. 4. ALPS Distributors, Inc.; Investment-Related; 1290 S Broadway Suite 1000 Denver, CO 80203; BD Registered Representative; 06/2010, 160 HRS/MON; 130 HRS/MON During Trading Hours. 5 .Milwaukee County Pension Board; Investment-Related; 901 N. 9th Street Suite 210; Milwaukee, WI 53233; Retirement Plan Services; Board Member; 3 HRS/MON; 3 HRS/MON During Trading Hours. 6. Girl Scouts of WI; Not Investment-Related; 1315 69th St. Milwaukee, WI 53214; Not for Profit; Board Member; 7 HRS/MON; None During Trading Hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-02-09 |
| S63 | Uniform Securities Agent State Law Examination | 1998-06-05 |
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