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12671 High Bluff Dr Suite 200, San Diego, CA 92130 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2025-01-01 |
Branch Locations
500 Elm Grove Rd. Ste. 100, Elm Grove, WI 53122 • 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 |
|---|---|---|---|---|
| Sii Investments, Inc. | Brookfield | WI | 11/2002 | 01/2018 |
| Annex Advisory Services, Llc | Brookfield | WI | 01/2005 | 01/2018 |
| Woodbury Financial Services Inc | Elm Grove | WI | 01/2018 | 08/2020 |
| Independent Financial Group | Elm Grove | WI | 09/2020 | Present |
(1) FINRA ARBITRATOR POSITION: Independent Contractor NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2003 ADDRESS: 16655 W Wisconsin Avenue, Brookfield WI 53005, United States DESCRIPTION: Serve as arbitrator as directed by FINRA (2) WCTC POSITION: Employee NATURE: Teaching/Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2003 ADDRESS: 800 Main Street, Pewaukee WI 53072, United States DESCRIPTION: Teach adult education classes (3) MARQUETTE POSITION: Employee NATURE: Teaching/Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2003 ADDRESS: 1250 W. Wisconsin Avenue, Milwaukee WI 53233, United States DESCRIPTION: Teach adult education class (4) ALVERNO COLLEGE POSITION: Employee NATURE: Teaching/Coaching INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2003 ADDRESS: 3400 S 43rd Str, Milwaukee WI 53234, United States DESCRIPTION: Teach adult education class (5) NOTARY POSITION: Employee NATURE: Notary INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2004 ADDRESS: 500 Elm Grove Rd., Ste. 100, Elm Grove WI 53122, United States DESCRIPTION: Notary Public (6) REGENCY WEALTH PARTNERS POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 40 START DATE: 01/01/2016 Address: DESCRIPTION: DBA used for financial services business
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-11-24 |
| S63 | Uniform Securities Agent State Law Examination | 1989-10-09 |
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