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Nathaniel Roland Penn

North Star Asset Management Inc

Neenah, WI

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Current Employers
North Star Asset Management Inc

One Neenah Center, Suite 300, Neenah, WI 54956 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2021-10-13
  • WI RA
    APPROVED
    Since 2021-10-13

Branch Locations

One Neenah Center, Suite 300, Neenah, WI 54956 • 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
North Star Asset Management Inc. Neenah WI 03/2020 Present
Heartland Advisors Milwaukee WI 05/2017 02/2020
Marquette University Milwaukee WI 09/2015 05/2017
  • 03/2020 → Present
    North Star Asset Management Inc.
    Neenah, WI
  • 05/2017 → 02/2020
    Heartland Advisors
    Milwaukee, WI
  • 09/2015 → 05/2017
    Marquette University
    Milwaukee, WI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-10-02
  • S65 Uniform Investment Adviser Law Examination
    2021-10-02

View on SEC IAPD

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