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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-08-11
WI RA APPROVED 2016-03-22
  • TX RA
    APPROVED_RES
    Since 2016-08-11
  • WI RA
    APPROVED
    Since 2016-03-22

Branch Locations

12740 North River Road, Mequon, WI 53092 • United States

Gentian Financial, Inc.

12740 N River Road, Mequon, WI 53092 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2016-03-30
  • WI RA
    APPROVED
    Since 2016-03-30

Branch Locations

12740 N River Road, Mequon, WI 53092 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Compass Benefit Specialist Brooksfield WI 05/2006 12/2017
Raymond James Financial Services,Inc Mequon WI 03/2016 Present
Raymond James Financial Services Advisors Inc. Mequon WI 03/2016 Present
Previous Registrations
  • 2015-01-02 → 2016-03-14
    Msi Financial Services, Inc.
    Milwaukee, WI
  • 2006-05-11 → 2015-01-02
    New England Securities
    Brookfield, WI
    Richfield, WI
Other Businesses

(1)Name of Business: Compass Benefit Specialists Address: 12740 N River Rd, Mequon, WI, 53097, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 02/27/2017 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Refer clients to Tom Wozniak and Dominic Schelfhout at Compass Benefit Specialists. We typically split commissions that get generated 50/50.Compass Benefit Specialists handle the Medicare Supplements and/or any health insurance that is needed for the clients. (2)Name of Business: Gentian Financial Address: 12740 N River Rd, Mequon, WI, 53092, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 03/11/2016 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Advisor

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-03-16
  • S66 Uniform Combined State Law Examination
    2005-03-16
Designations
Other Names
  • Kenneth W Flannery

View on SEC IAPD

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