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Current Employers
Heartland Advisors, Inc.

790 N Water Street Suite 1200, Milwaukee, WI 53202 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2010-06-28
  • WI RA
    APPROVED
    Since 2010-06-28

Branch Locations

790 N Water Street Suite 1200, Milwaukee, WI 53202 • 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
Heartland Advisors, Inc. Milwaukee WI 05/2010 Present
Alps Distributors, Inc. Denver CO 06/2010 Present
Previous Registrations
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-02-09
S63 Uniform Securities Agent State Law Examination 1998-06-05
  • S65 Uniform Investment Adviser Law Examination
    2004-02-09
  • S63 Uniform Securities Agent State Law Examination
    1998-06-05
Other Names
  • Nicole Nagel

View on SEC IAPD

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