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Alice Michelle Naef
ALICE MICHELLE HITTLE, ALICE MICHELLE POLLITT, ALICE MICHELLE POWELL
CRD#: 2186808
IA
B
LPL FINANCIAL LLCCRD#: 6413 HAZELHURST, WI
0
Disclosures
31
Years of Experience
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State Registrations
B
South Carolina 11/28/2017
IA
Wisconsin 11/28/2017
B
Wisconsin 11/28/2017
SRO Registrations
B
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Learn about permitted activities of registered principals
IA
Registered with this firm since 11/28/2017
B
Registered with this firm since 11/28/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/01/2016 - 10/10/2017 | APPLETON, WI | |
B | 10/11/2000 - 10/10/2017 | APPLETON, WI | |
IA | 04/06/2016 - 10/09/2017 | Appleton, WI | |
IA | 04/01/2016 - 10/09/2017 | Appleton, WI | |
IA | 09/07/2001 - 10/09/2017 | APPLETON, WI | |
B | 03/15/2016 - 10/09/2017 | APPLETON, WI | |
B | 02/25/2016 - 10/09/2017 | LOS ANGELES, CA | |
B | 02/03/2000 - 10/09/2017 | APPLETON, WI | |
B | 11/03/1992 - 07/15/1999 | MINNEAPOLIS, MN |
Appleton, WI
04/06/2016 - 10/09/2017
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.