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Nicholas Adrian Wrasse
CRD#: 7227795
IA
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LPL ENTERPRISE, LLCCRD#: 8733 4321 W COLLEGE AVE
SUITE 200
APPLETON, WI 54914
SUITE 200
APPLETON, WI 54914
0
Disclosures
5
Years of Experience
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State Registrations
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Arizona 11/14/2024
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Wisconsin 11/14/2024
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Florida 11/15/2024
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Wisconsin 11/14/2024
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South Dakota 12/5/2024
SRO Registrations
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Registered with this firm since 11/14/2024
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Registered with this firm since 11/14/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/16/2020 - 11/14/2024 | Appleton, WI | |
B | 03/05/2020 - 11/14/2024 | Appleton, WI |
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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.
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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.