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Madison, WI • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-07-01 |
| WA | RA | APPROVED | 2022-01-19 |
| WI | RA | APPROVED | 2021-09-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Empirical Wealth Management | Seattle | WA | 01/2016 | 09/2018 |
| Empirical Wealth Management | Seattle | WA | 09/2018 | 09/2021 |
| Kindness Financial Planning Llc | Madison | WI | 09/2021 | Present |
| Directional Financial Services | Seattle | WA | 08/2015 | 12/2017 |
(1) Elliott M. Appel, insurance agent. Investment-related: Yes. Address: Madison, WI. Nature: Insurance reviews and guidance as part of financial plan. Position: Financial planner. Start date: Sept. 2021. Approximate number of hours per month: 2. Approximate number of hours per month during securities trading hours: 2. Duties: Currently hold insurance license in State of Wisconsin and provide reviews and guidance to clients regarding insurance needs; however, do not sell insurance products. (2) Name: italkaboutmoney.com. Investment-related: No. Address: Madison, WI. Nature: Educational and informational blog. Position: Content writer. Start date: 07/2020. Approximate number of hours per month: 12. Approximate number of hours per month during securities trading hours: 0. Duties: Write educational content for blog regarding personal finance. (3) Name: ME and Money podcast. Investment-related: No. Address: Madison, WI. Nature: Educational and informational podcast. Position: Podcast host. Start date: 5/2024. Approximate number of hours per month: 1-5. Approximate number of hours per month during securities trading hours: 4. Duties: Host educational podcast regarding personal finance. (4) Name: Elliott M. Appel, author. Investment-related: No. Address: Madison, WI. Nature: Non-fiction books. Position: Author or contributing author. Start date: 09/2021. Approximate number of hours per month: 2. Approximate number of hours per month during securities trading hours: 0. Duties: Write non-fiction content for publication regarding financial literacy, financial planning, and other topics. Publications include: "More Than Money: Real Life Stories of Financial Planning" (contributing author), and "Money Lessons for Change: What They Should Have Taught You in School" (author). In progress is a book about financial considerations for caregivers. (5) Name: Savvy Ladies. Investment-related: Yes. Address: www.savvyladies.org, New York, NY. Nature: 501(c)(3) Nonprofit Organization. Position: Volunteer. Start date: 09/2022. Approximate number of hours per month: 1-5. Approximate number of hours per month during securities trading hours: 0. Duties: Provide pro-bono financial education and coaching. (6) Name: Wings for Widows. Investment-related: Yes. Address: www.wingsforwidows.org, 290 Peavey Road, Wayzata, MN 55391. Nature: 501(c)(3) Nonprofit Organization. Position: Volunteer. Start date: 09/2022. Approximate number of hours per month: 1-5. Approximate number of hours per month during securities trading hours: 0. Duties: Provide pro-bono financial education and coaching.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-06-02 |
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