License Finder

License Finder

INVESTMENT ADVISOR
License Description An investment adviser is any person who, for compensation, engages in the business of advising others, either directly or through publications, writings or electronic means, as to the value of securities or as to the advisability of investing in, purchasing or selling securities, or who, for compensation and as a part of a regular business, issues or promulgates analyses or reports concerning securities. Investment advisers may manage, on a day-to-day basis, client stock portfolios, use discretionary powers to make investment decisions, perform market timing, prepare financial plans involving securities or publish reports on securities. However, Wisconsin does not regulate by title, and merely calling oneself a financial planner, for example, does not trigger the investment adviser registration requirement if that person does not give advice on securities.
Licensing Agency
WI Dept of Financial Institutions
Division of Securities
201 W Washington Ave, Suite 300, P.O. Box 1768
Madison, WI 53707-1768
(608) 266 2139
Active Status Active
Criminal Record No criminal record prohibitions
License Type Stand-alone license
License Updated 12/01/2020

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