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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 |
| WI | RA | APPROVED | 2009-12-11 |
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 |
|---|---|---|---|---|
| Heartland Advisors, Inc | Milwaukee | WI | 10/2009 | Present |
| Alps Distributors, Inc. | Denver | CO | 12/2009 | Present |
1. Heartland Advisors. Investment related. 790 Water St, Ste 1200, Milwaukee, WI 53202, Investment Advisor, Vice President of Sales, start 10/2009, 176 hrs/mo, 132 hrs/mo, Investment management. 2. ALPS DISTRIBUTORS, INC. 1290 BROADWAY, SUITE 1000, DENVER, CO 80203 BUSINESS IS INVESTMENT RELATED - BD, REGISTERED REPRESENTATIVE, 160 HOURS/MONTH, 130 HOUR/MONTH DURING TRADING HOURS
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-12-09 |
| S65 | Uniform Investment Adviser Law Examination | 2000-01-26 |
| S63 | Uniform Securities Agent State Law Examination | 1999-08-20 |
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