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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2023-02-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Associated Investment Services, Inc. | Green Bay | WI | 01/2006 | 02/2023 |
| Pinnacle Private Wealth | Kimberly | WI | 02/2023 | Present |
| Commonwealth Financial Network | San Diego | CA | 02/2023 | Present |
1. Fixed insurance sales, Integrated Equity Management; as of 06/02/2022, 8% of time spent during business hours; Conducted at branch location; Investment related. 2. Co-owner & Senior Partner, Pinnacle Private Wealth, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 2/24/2023; 85% of time spent during business hours; Conducted at branch; Investment related. 3. Owner, Funk Wealth Management, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 4/12/2023; 90% time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-28 |
| S63 | Uniform Securities Agent State Law Examination | 1992-06-11 |
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