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THOMAS MICHAEL PAPPENFUS
CRD#: 5053387
IA
B
LANDAAS & COMPANYCRD#: 47487 411 E WISCONSIN AVE
20TH FLOOR
MILWAUKEE, WI 53202
20TH FLOOR
MILWAUKEE, WI 53202
0
Disclosures
13
Years of Experience
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State Registrations
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Arizona 10/25/2017
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New Jersey 10/27/2017
B
California 7/11/2017
B
New Mexico 11/17/2020
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Colorado 10/27/2017
B
New York 12/1/2017
B
Connecticut 10/27/2017
B
North Carolina 10/27/2017
B
Florida 10/25/2017
B
Ohio 3/28/2017
B
Georgia 12/1/2017
B
Oregon 1/19/2018
B
Illinois 10/27/2017
B
South Carolina 9/23/2015
B
Indiana 12/1/2017
B
Tennessee 10/27/2017
B
Iowa 6/13/2019
B
Texas 9/12/2017
B
Kentucky 5/20/2019
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Texas 2/2/2022
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Maryland 5/23/2022
B
Utah 1/19/2021
B
Massachusetts 1/19/2018
B
Virginia 4/12/2023
B
Michigan 12/1/2017
B
Washington 1/19/2018
B
Minnesota 10/27/2017
B
Wisconsin 4/29/2013
B
Missouri 10/17/2017
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Wisconsin 4/29/2013
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Nevada 4/12/2023
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 4/29/2013
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Registered with this firm since 3/15/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/02/2009 - 04/30/2009 | GRAFTON, WI | |
IA | 11/16/2007 - 01/07/2009 | BROOKFIELD, WI | |
B | 11/16/2007 - 01/07/2009 | BROOKFIELD, WI | |
IA | 09/11/2007 - 10/23/2007 | WAUWATOSA, WI | |
B | 09/11/2007 - 10/23/2007 | WAUWATOSA, WI | |
B | 02/03/2006 - 03/28/2006 | BROOKFIELD, WI |
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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.