WEALTH MANAGEMENT of NORFOLK, NE is an SEC-registered investment adviser (CRD 137080). Regulatory assets under management: $3.7B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Corporations, Other.
| Name | Role | Location |
|---|---|---|
| Jared Matthew Faltys | CO-CHIEF EXECUTIVE OFFICER | — |
| Nathan Aubrey Raabe | CHIEF COMPLIANCE OFFICER | — |
| CHRISTENSEN STANLEY DEL | CHIEF EXECUTIVE,FINANCIAL, OPERATIONS OFFICER; PRESIDENT | — |
| CHRISTENSEN PRIM SHERRI LYNN | CHIEF COMPLIANCE OFFICE; CHIEF COMPLIANCE OFFICER | — |
| FALTYS JARED MATTHEW | CHIEF EXECUTIVE; CO-CHIEF EXECUTIVE OFFICER; MANAGER (+2 more) | — |
| BROZEK NANCY JO | CO-CHIEF EXECUTIVE OFFICER; MANAGER; OWNER (+1 more) | — |
| HILKEMANN LARRY EDWARD | CHIEF COMPLIANCE OFFICER | — |
| RAABE NATHAN AUBREY | CHIEF COMPLIANCE OFFICER; OWNER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-01-29 | regulatory | FAILURE TO TIMELY COMPLETE STATE NOTICE REGISTRATION, FILE REQUIRED STATE NOTICE FILINGS AND PAY ALL ASSOCIATED FEES IN THE STATE OF FLORIDA UPON MEETING DE MINIMIS REQUIREMENTS | Final | $9K |
| — | regulatory | — | — | — |