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790 N Water Street Suite 1200, Milwaukee, WI 53202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-03-08 |
| WI | RA | APPROVED | 2019-10-08 |
Branch Locations
790 N Water Street Suite 1200, Milwaukee, WI 53202 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fenimore Securities, Inc. | Cobleskill | NY | 11/2015 | 10/2018 |
| Fenimore Asset Management, Inc. | Cobleskill | NE | 11/2015 | 10/2018 |
| Alps Distributors, Inc | Denver | CO | 09/2019 | Present |
| Heartland Advisors Inc. | Milwaukee | WI | 09/2019 | Present |
| Unemployed | New Berlin | WI | 10/2018 | 09/2019 |
1. HEARTLAND ADVISORS INC., INVESTMENT RELATED, 790 WATER ST STE 1200 MILWAUKEE WI 53202, RELATIONSHIP MANAGER, 160 HRS/MON, 130 HRS/MON DURING TRADING. 2. ALPS DISTRIBUTORS, INC. 1290 BROADWAY, SUITE 1000, DENVER, CO 80203 BUSINESS IS INVESTMENT RELATED - BD, REGISTERED REPRESENTATIVE, 160 HOURS/MONTH, 130 HOUR/MONTH DURING TRADING HOURS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-08-13 |
| S63 | Uniform Securities Agent State Law Examination | 1993-06-04 |
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