Individual Firm
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JAMES JULE ALBERTS
JAMES J ALBERTS
CRD#: 2768576
IA
B
N.E.W. ADVISORY SERVICES, LLCCRD#: 290405 425 Packerland Dr.
Suite C
Green Bay, WI 54303
Suite C
Green Bay, WI 54303
GENEOS WEALTH MANAGEMENT, INC.CRD#: 120894 425 Packerland Dr
Suite C
Green Bay, WI 54303
Suite C
Green Bay, WI 54303
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12/11/2014
Customer Dispute
Denied
2/18/2004
Customer Dispute
Denied
2/18/2004
Customer Dispute
Settled
State Registrations
B
Arizona 6/23/2022
B
South Dakota 6/23/2022
B
Florida 6/24/2022
B
Tennessee 6/23/2022
B
Idaho 6/23/2022
B
Washington 6/23/2022
B
Michigan 6/23/2022
B
Wisconsin 6/23/2022
B
Minnesota 6/27/2022
IA
Wisconsin 6/23/2022
B
Nevada 6/23/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/23/2022
B
Registered with this firm since 6/23/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/27/2017 - 06/27/2022 | GREEN BAY, WI | |
B | 09/21/2004 - 06/27/2022 | GREEN BAY, WI | |
B | 10/08/2001 - 09/28/2004 | PHOENIX, AZ | |
B | 10/11/1999 - 10/01/2001 | PHOENIX, AZ | |
B | 12/13/1996 - 10/11/1999 | APPLETON, WI | |
B | 10/22/1996 - 12/24/1996 | DULUTH, GA |
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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.