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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-03-25 |
| WI | RA | APPROVED | 2019-02-26 |
Branch Locations
N4982 Hwy 58 Mauston, Mauston, WI 53948 • United States
2800 National Drive Suite 103, Onalaska, WI 54650 • 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 |
|---|---|---|---|---|
| Lpl Financial Llc | La Crosse | WI | 05/2011 | 02/2019 |
| Advantage Investment Management Llc | Lacrosse | WI | 01/2015 | 02/2019 |
| Commonwealth Financial Network | Waltham | MA | 02/2019 | Present |
| Schmocker Financial Services | La Crosse | WI | 02/2019 | Present |
1. Fixed insurance sales; as of 2/26/2019; Approximately 2% time spent during securities trading hours per month; Conducted at branch location; Investment related. 2. Co-Owner, Schmocker Financial Services, Inc.; a private entity established to facilitate securities, advisory, and insurance business; as of 01/05/2024; 100% time spent during business hours; Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2006-05-27 |
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