Nicholas Allen Wendt

Current Employers

Employment History

• 01/2014 → Present
  Straight Arrow Services Inc
  Richfield, WI
• 08/2017 → 09/2017
  Waddell & Reed, Inc
  Richfield, WI
• 01/2014 → Present
  Peter Heimerman
  Richfield, WI
• 04/2017 → Present
  Straight Arrow Financial Group (Dba)
  Richfield, WI
• 09/2017 → Present
  Lpl Financial, Llc
  Richfield, WI
• 09/2017 → Present
  Independent Advisor Alliance
  Richfield, WI

Previous Registrations

• 2017-09-20 → 2017-09-29
  Waddell & Reed
  Waukesha, WI
  Richfield, WI

Other Businesses

1. 9/27/2017 - Straight Arrow Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 10/16/2017 - Independent Advisor Alliance - DBA: (Hybrid) Straight Arrow Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 09/26/2017 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity on 10/16/2017. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 10/16/2017 - Independent Advisor Alliance (IAA) - DBA: (Hybrid) Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 09/26/2017 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity on 10/16/2017. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 01/18/2019 - Cedar Grove-Belgium School District - Not investment related - 321 N 2nd St. Cedar Grove, WI 53013 - Other/Coach - High School Wrestling Coach - start date:11/12/2018 - 60 hrs/mo.

Exams

• S66 Uniform Combined State Law Examination
  2017-09-20

Designations

Other Names

• Nicholas Andrew Wendt
• Nick Wendt