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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 |
| CA | RA | APPROVED | 2006-10-05 |
| WI | RA | APPROVED | 2003-11-12 |
Branch Locations
790 N Water Street Suite 1200, Milwaukee, WI 53202 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Heartland Group, Inc. | Milwaukee | WI | 03/1985 | Present |
| Heartland Advisors, Inc. | Milwaukee | WI | 09/1988 | Present |
| Alps Distributors, Inc. | Denver | CO | 08/2007 | Present |
1. Heartland Advisors; Investment-Related; 790 Water St, Ste 1200, Milwaukee, WI 53202; Investment Advisor; CEO; Start 03/1985; 160 HRS/MON; 130 HRS/MON During Trading Hours; Investment Management. 2. ALPS Distributors, Inc.; 1290 Broadway, Suite 1000, Denver, CO 80203; Investment-Related; Broker-Dealer; Registered Representative;160 HRS/MON; 130 HRS/MON During Trading Hours. 3. Milwaukee County War Memorial Center; Not Investment-Related; 750 N Lincoln Memorial Dr Milwaukee, WI 53202; War Memorial Center; Board Member; 03/21/2025; 5 HRS/MON; None During Trading Hours.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1980-02-14 |
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