ASSOCIATED INVESTMENT SERVICES, INC. of GREEN BAY, WI is an SEC-registered investment adviser (CRD 1464). Regulatory assets under management: $1.2B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Charities, Other.
Showing 25 of 50 people.
| Name | Role | Location |
|---|---|---|
| Richard Allen | REGIONAL SALES MANAGER | MARIETTA, GA |
| Richard R Allen | REGIONAL SALES MANAGER | Gainesville, FL |
| Richard J Allen | REGIONAL SALES MANAGER | Edina, MN |
| Beth Ann Cravillion | DIRECTOR OF SUPPORT SERVICES | — |
| Michael David Kuipers | DIRECTOR, PRESIDENT & CEO | — |
| Anthony Philip Pecora | CHIEF COMPLIANCE OFFICER | — |
| Michael Robert Hochholzer | DIRECTOR, BOARD OF DIRECTORS | — |
| Dennis Michael Deloye | DIRECTOR, BOARD OF DIRECTORS | — |
| Andrew James Arnold | DIRECTOR, TREASURER | — |
| Jayne Clara Hladio | DIRECTOR, BOARD OF DIRECTORS | — |
| Steven Sia Zandpour | DIRECTOR, BOARD OF DIRECTORS | — |
| Heath William Sorenson | CHAIRMAN, BOARD OF DIRECTORS | — |
| Justin Michael Biese | PRINCIPAL, FINANCIAL REPORTING | — |
| Jacob Jeffery Keller | PRINCIPAL, FINANCIAL REPORTING | — |
| John Parker Thayer | CHAIRMAN, BOARD OF DIRECTORS | — |
| CURTIS WILLIAM KELLEY | PRESIDENT & CEO; PRINCIPAL, FINANCIAL | — |
| DOWSETT CHERYL ANNE | DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | — |
| BERONJA KURTIS ALLEN | DIRECTOR OF SALES SUPPORT & ADMINISTRATION; INTERIM CHIEF COMPLIANCE OFFICER | — |
| MCMULLEN MARK JAMES | CHAIRMAN OF THE BOARD OF DIRECTORS | — |
| FUSZARD CURTIS JOHN | PRESIDENT & CEO; PRESIDENT & CEO; PRINCIPAL, FINANCIAL | — |
| THAYER JOHN PARKER | CHAIRMAN, BOARD OF DIRECTORS; DIRECTOR, BOARD OF DIRECTORS | — |
| BOHN WILLIAM MICHAEL | CHAIRMAN - BOARD OF DIRECTORS | — |
| HOCHHOLZER MICHAEL ROBERT | DIRECTOR, BOARD OF DIRECTORS | — |
| MCALEAVEY BRIAN JOHN | REGIONAL SALES MANAGER | — |
| LHOST THOMAS EDWARD | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER; COUNSEL | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 1998-07-18 | regulatory | IN JULY 1998 A REPRESENTATIVE OF THE FIRM VIOLATED REG. T AND NASD RULE 2110 (PURCHASES, THEN SALES WITHOUT PAYMENT IN FULL). THE FIRM, THROUGH APPLICANT, FAILED TO ESTABLISH AND MAINTAIN SUPERVISORY PROCEDURES, OR OTHERWISE TAKE STEPS, REASONABLY DESIGNED TO PREVENT THE VIOLATIONS, CONTRARY TO NASD… | Final | $3K |
| 1968-07-02 | regulatory | ALLEGED VIOLATIONS OF SECTIONS 1.08 AND 1.04 OF THE RULES OF THE COMMISSIONER OF SECURITIES, PERTAINING TO THE SALE OF UNREGISTERED SECURITIES OF NEWBAR TELEVONICS, INC. AND REPRESENTATIONS MADE TO CUSTOMERS IN CONNECTION WITH SUCH TRANSACTIONS. | Final | — |
Showing 15 of 27 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| PORT WASHINGTON | WI | 2 | 262-284-2641 |
| ST. LOUIS PARK | MN | 2 | 952-591-2865 |
| WEST ALLIS | WI | 1 | 414-321-2000 |
| SHEBOYGAN | WI | 1 | 920-459-6880 |
| FAIRVIEW HEIGHTS | IL | 1 | 618-632-7421 |
| WATERTOWN | WI | 1 | 920-261-1961 |
| WAUWATOSA | WI | 1 | 414-778-1610 |
| MINOCQUA | WI | 1 | 715-356-9556 |
| MACHESNEY PARK | IL | 1 | 815-987-3610 |
| MUKWONAGO | WI | 1 | 262-363-7111 |
| EAGAN | MN | 1 | 651-306-1601 |
| ST. PAUL | MN | 1 | 651-646-8681 |
| APPLETON | WI | 1 | 920-831-2788 |
| LACROSSE | WI | 1 | 608-793-3800 |
| GREENFIELD | WI | 1 | 414-281-2500 |