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Current Employers
Private Client Services, Llc

2225 Lexington Road, Louisville, KY 40206 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2018-03-26
  • WI RA
    APPROVED
    Since 2018-03-26

Branch Locations

4351 West College Ave Suite 420, Appleton, WI 54914 • United States

2225 Lexington Rd, Louisville, KY 40206 • United States

Kaukauna, WI • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Sii Investments Appleton WI 09/2011 03/2018
Private Client Services Louisville KY 03/2018 Present
  • 09/2011 → 03/2018
    Sii Investments
    Appleton, WI
  • 03/2018 → Present
    Private Client Services
    Louisville, KY
Previous Registrations
  • 2011-09-29 → 2018-03-19
    Sii Investments, Inc.
    Appleton, WI
  • 2011-09-29 → 2018-03-19
    Investment Centers Of America, Inc.
    Appleton, WI
  • 2012-02-24 → 2013-06-06
    National Planning Corporation
    Los Angeles, CA
  • 2011-04-08 → 2011-09-23
    Employer Retirement Investment Advisors, Llc
    De Pere, WI
  • 2006-08-25 → 2009-12-14
    Appleton, WI
Other Businesses

1) FOX VALLEY PERFORMANCE, NOT INVESTMENT RELATED, N8770 LAKE PARK RD, MENASHA, WI 54952. BUSINESS DESCRIPTION: CLUB VOLLEYBALL PROGRAM, POSITION: ASSISTANT COACH FOR DAUGHTER'S VOLLEYBALL TEAM. THERE ARE 2 PRACTICES A WEEK PLUS TOURNAMENT DAYS. 16 HRS/MO; 0 DURING TRADING HRS. 2) ST. IGNATIUS ATHLETICS, NOT INVESTMENT RELATED, 220 DOTY ST., KAUKAUNA, WI 54130, BUSINESS DESCRIPTION: RUNS ATHLETIC PROGRAMS FOR ST. IGNATIUS SCHOOL, POSITION AND DUTIES: VOLLEYBALL REFEREE, 8 HRS/MO, 0 DURING BUSINESS HOURS, EFFECTIVE DATE 09/15/2023. 3) COASH. W4750 NATURE LANE, SHERWOOD, WI 54169. VOLLEYBALL CLUB AND PRIVATE TRAINING. COACHING 16U GIRLS VOLLEYBALLY TEAM. 8 HRS/MO; 0 DURING TRADING HRS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-08-06
  • S66 Uniform Combined State Law Examination
    2004-08-06
Other Names
  • Jane Marie Brockman

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