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790 N Water Street Suite 1200, Milwaukee, WI 53202 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2021-03-31 |
Branch Locations
790 N Water Street Suite 1200, Milwaukee, WI 53202 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Securities Llc | 1285 Avenue Of The Americas | NY | 05/2018 | 03/2020 |
| Evalueserve | Raleigh | NC | 06/2016 | 05/2018 |
| Alps Distributors, Inc. | Denver | CO | 04/2020 | Present |
| Heartland Advisors | Milwaukee | WI | 03/2020 | 05/2025 |
| Heartland Advisors, Inc. | Milwaukee | WI | 05/2025 | Present |
1.Heartland Advisors; Investment-Related; 790 Water St, Ste 1200, Milwaukee, WI 53202; Investment Advisor; Associate Portfolio Manager; 3/31/2020; 160 HRS/MON; 130 HRS/MON During Trading Hours. 2. ALPS Distributors, Inc.; Investment-Related; 1290 Broadway Suite 1000 Denver, CO 80203; Broker-Dealer; Registered Representative; 4/06/2020;160 HRS/MON; 130 HRS/MON During Trading Hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2020-08-01 |
| S63 | Uniform Securities Agent State Law Examination | 2018-09-05 |
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