Best Investors Account Sign in
Inactive

Richard Michael Otto

Kom Wealth Management Group, LLC

Appleton, WI

CRD 2227141

Claim This Profile
Employer firm

Kom Wealth Management Group, LLC CRD 142682

$408M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Kom Wealth Management Group, Llc

3601 E. Evergreen Drive Suite 100, Appleton, WI 54913 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2017-03-29
  • WI RA
    APPROVED
    Since 2017-03-29

Branch Locations

3601 E. Evergreen Drive Suite 100, Appleton, WI 54913 • 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
Kerntke Otto Mcglone Wealth Management Appleton WI 02/2007 Present
  • 02/2007 → Present
    Kerntke Otto Mcglone Wealth Management
    Appleton, WI
Previous Registrations
Other Businesses

1)INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-06-08
  • S63 Uniform Securities Agent State Law Examination
    1992-06-08
Designations
  • Certified Financial Planner
Other Names
  • R Michael Otto
  • Mike Otto
  • R. Michael Otto

View on SEC IAPD

Nearby Firms

MORGAN STANLEY
PRIVATE CLIENT SERVICES, LLC
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Nearby Investors

BRANDY LYNN DEBROUX
LEIGH ANN THERN
Matthew C Bush

Nearby Offices

MORGAN STANLEY · APPLETON, WI
PRIVATE CLIENT SERVICES, LLC · Appleton, WI
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · APPLETON, WI

More in Appleton, WI

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor