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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 2020-04-20
  • WI RA
    APPROVED
    Since 2020-04-20

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
Alps Distributors, Inc. Denver CO 10/2019 Present
Heartland Advisors Milwaukee WI 05/2019 05/2025
Wisconsin School Of Business Madison WI 09/2018 05/2019
Heartland Advisors Milwaukee WI 05/2018 05/2019
Us Bancorp Fund Services Milwaukee WI 10/2015 08/2017
Wisconsin School Of Business Madison WI 09/2017 05/2019
Heartland Advisors, Inc. Milwaukee WI 05/2025 Present
  • 10/2019 → Present
    Alps Distributors, Inc.
    Denver, CO
  • 05/2019 → 05/2025
    Heartland Advisors
    Milwaukee, WI
  • 09/2018 → 05/2019
    Wisconsin School Of Business
    Madison, WI
  • 05/2018 → 05/2019
    Heartland Advisors
    Milwaukee, WI
  • 10/2015 → 08/2017
    Us Bancorp Fund Services
    Milwaukee, WI
  • 09/2017 → 05/2019
    Wisconsin School Of Business
    Madison, WI
  • 05/2025 → Present
    Milwaukee, WI
Other Businesses

1.Heartland Advisors; Investment-Related; 790 Water St Suite 1200 Milwaukee, WI 53202; Asset Manager; Associate Portfolio Manager; 200 HRS/MON; 130 HRS/MON During Trading Hours. 2. Adventure Capital Group; Not Investment-Related; 418 N 3rd St Unit 180 Milwaukee, WI 53203; Vacation Rentals; 4 HRS/MON; None During Trading Hours. 3. ALPS Distributors, Inc.; 1290 Broadway Suite 1000; Denver, CO 80203; Investment-Related; BD; Registered Representative; 160 HRS/MON; 130 HRS/MON During Trading Hours. 4. Hawk Center for Investment Analysis; Investment-Related; 975 University Ave Madison, WI 53706; Public University; Volunteer Board Member; 4 HRS/MON; 2 HRS/MON During Trading Hours; Provide Guidance for Academic and Fundraising Strategy.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-02-24
  • S66 Uniform Combined State Law Examination
    2020-02-24

View on SEC IAPD

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