Scott Louis Hefle

Current Employers

Employment History

• 12/2012 → 01/2022
  Triad Advisors, Inc.
  Norcross, GA
• 01/2022 → Present
  Northland Securities
  Minneapolis, MN

Previous Registrations

• 2020-09-29 → 2022-02-05
  Osaic Advisory Services, Llc
  Brookfield, WI
  Atlanta, GA
• 2019-08-07 → 2020-12-31
  Oarsman Capital, Inc
  Milwaukee, WI
• 2006-05-02 → 2006-05-02
  First Midamerica Investment Corporation
  Milwaukee, WI
• 2005-07-06 → 2006-05-01
  Chase Investment Services Corp.
  Waukesha, WI
• 2003-09-11 → 2005-07-06
  Banc One Securities Corporation
  Waukesha, WI

Other Businesses

1)LEADERSHIP GERMANTOWN;NOT INVESTMENT RELATED;P.O. BOX 1812,GERMANTOWN,WI;COMMUNITY-BASED LEADERSHIP TRAINING;BOARD MEMBER;6/2009;5 HRS/MONTH;0 HRS DURING TRADING;BOARD VOTING ON ISSUES 2) Economic Development Commission (N112W17007 Mequon Road Germantown, WI 53022) - Commissioner: Provide guidance as directed by the Plan Commission to review economic activity initiatives happening in the Village of Germantown. Review development proposals and initiatives as directed by the Plan Commission and/or Village Board and monitor the business loan pool and beautification efforts. 1 hour/month with 0 during trading hours. No compensation. Not investment related. 3) Friends of Leadership Germantown, Inc. (N112W16760 Mequon Road, Germantown, WI 53022) - President: To allow a conduit for local corporations and individuals to support the program through ta dectuble 501c3. Meet once a year with officers. 2 hours/year with 0 hours during trading. No compensation. Not investment related. 4) Leadership Germantown Committee (N112W16760 Mequon Road, Germantown, WI 53022)- Committee Member: Assist the Chamber of Commerce in running a leadership training program. Provides direction and support to Chamber of Commerce. 2 hours/month with 1 hour during trading. No compensation. Not investment related. 5) Friends of Germantown K9 (N112W16877 Mequon Road, Germantown, WI 53022) - Director: Raises money to support K9 units as part of Germantown Police Department. Affects policy changes to bylaws of non-profit. 4 hours/month. 0 hours during trading. No compensation. Investment related. 6) Germantown Village Board(Germantown, WI 53022): Trustee-oversee all village operations, annual township budget, review projects for consideration. 10hrs/month with 0 during trading. annual salary 7) Village of Germantown Village Board Trustee (Germantown, WI 53022) Committee member of Public Safety Committee, Review public safety reports, fire department, and discuss policy changes or community issues. Provide recommendations to the Village Board for funding as necessary. 2 hrs/month with 0 during trading. No compensation. Not investment related. 8) Village of Germantown Village Board Trustee (Germantown, WI 53022) Committee member of General Government and Finance Committee, Discuss government policy and code changes, review all financial documents of the Village and make recommendations to the Village Board for action Does not fund authority. 2 hrs/month with 0 during trading. No compensation. Not investment related.

Exams

• S65 Uniform Investment Adviser Law Examination
  2019-05-03
• S63 Uniform Securities Agent State Law Examination
  1998-12-23