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Anne Therese Ertel-Sawasky

Unique Investment Advisors, LLC

Nashville, TN

Phoenix, AZ

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Current Employers
Unique Investment Advisors, Llc

Phoenix, AZ • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2025-07-03
TN RA APPROVED 2025-04-30
CA RA APPROVED 2025-04-04
WI RA APPROVED 2025-04-04
  • AZ RA
    APPROVED
    Since 2025-07-03
  • TN RA
    APPROVED
    Since 2025-04-30
  • CA RA
    APPROVED
    Since 2025-04-04
  • WI RA
    APPROVED
    Since 2025-04-04

Branch Locations

95 White Bridge Pike Suite 310, Nashville, TN 37205 • United States

Phoenix, AZ • 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
Paul Winkler, Inc. Goodlettsville TN 03/2016 03/2025
Sawasky Law Llc Racine WI 03/1997 Present
Paul Winkler, Inc. Goodlettsville TN 05/2016 09/2022
Unique Investment Advisors, Llc Phoenix AZ 04/2025 Present
Quo Vadis Solutions Llc Appleton WI 11/2024 Present
Previous Registrations
  • 2016-09-08 → 2025-04-28
    Goodlettsville, TN
    Nashiville, TN
    Nashville, TN
    Bowling Green, KY
    Nashville, TN
    Nashville, TN
Other Businesses

(1) Quo Vadis Solutions LLC; Appleton, WI; Inv Rel; Business Consultant/Ins Agent; Start 11/2024; Insurance sales and services; 54 hrs/mo; 54 hrs during sec trading. (2) Sawasky Law LLC; Racine, WI; Not investment related; Owner and Attorney of firm; Established this firm in 03/1997; Law practice; Spend approx. 1-2 hours devoted a month during trading hours or evenings/weekends.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-09-07
S63 Uniform Securities Agent State Law Examination 1987-11-23
  • S65 Uniform Investment Adviser Law Examination
    2016-09-07
  • S63 Uniform Securities Agent State Law Examination
    1987-11-23
Designations
Other Names
  • Anne Therese Ertel
  • Anne Therese Sawasky
  • Anne Therese Ertelsawasky

View on SEC IAPD

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