# SII INVESTMENTS, INC.

SII INVESTMENTS, INC. of APPLETON, WI is an SEC-registered investment adviser.

## Registration

- CRD: 2225
- Type: SEC-registered investment adviser
- SEC file number: 801-54935
- Location: 5555 W GRANDE MARKET DRIVE, APPLETON, WI, 54913-8403
- Phone: 800-426-5975
- Latest filing: 2018-06-13
- Clients: 81

## Officers, owners & control persons (47)

_Showing 25 of 47 people._

| Name | Role | Location |
| --- | --- | --- |
| DREFFEIN MARY SHAWN | DIRECTOR | — |
| MEYER THOMAS JOHN | DIRECTOR; SECRETARY; SECRETARY & DIRECTOR (+1 more) | — |
| COLLINS MAURA KATHRYN | CFO; CFO & FINOP; CFO/FINOP (+4 more) | — |
| MCGOVERN WILLIAM DAVID | SVP/CHIEF MARKETING OFFICER | — |
| JOHNSON JOHN MICHAEL | PRESIDENT/CEO; PRESIDENT/CEO & DIRECTOR | — |
| MCGINNIS STEVEN KENT | SENIOR VP - LEGAL | — |
| WELLS LEON ANDREW | DIRECTOR | — |
| HOPPING ANDREW BOUTWELL | CFO & FINOP; DIRECTOR | — |
| WASSON TIMOTHY D | FVP CHIEF COMPLIANCE OFFICER | — |
| DAFT JOSEPH STEPHEN | MUNI PRINCIPAL | — |
| OSWALD MARK MICHAEL | CCO | — |
| PENE STEPHAN ROBERT | FINOP | — |
| JOHNSON LYNDA ANN | FIRST VP & INTERIM COO; MUNI PRINCIPAL | — |
| JACK CLIFFORD JAMES | DIRECTOR; NPH PRESIDENT & CEO/DIRECTOR | — |
| LANDEFELD JENNIFER LEE | NPH SVP REGULATORY AFFAIRS | — |
| HERMAN JANICE LYNN | VP COMPLIANCE; VP COMPLIANCE/ROSFP; VP COMPLIANCE,SROP,CROP (+1 more) | — |
| MILLER JAMES PETER | DIRECTOR; NPH SVP OPERATIONS; NPH SVP OPERATIONS/DIRECTOR (+3 more) | — |
| DESMIDT JON PATRICK | MUNI PRINCIPAL; MUNI PRINICIPAL/AVP INVESTMENT ADVISORY; MUNI PRINICIPAL/DIRECTOR INVESTMENT REVIEW | — |
| KALINOWSKI DAWN MARIE | FVP OPERATIONS; SVP, COO | — |
| LOASBY DAVID ANDREW | CCO; CHIEF COMPLIANCE OFFICER; SVP, CHIEF COMPLIANCE OFFICER | — |
| KINART TODD MICHAEL | PRESIDENT & CEO; SII PRESIDENT & CEO/DIRECTOR | — |
| HITTLE ALICE MICHELLE | VP INVESTMENT ADVISORY | — |
| GUNDERSON GERRY A | CHIEF COMPLIANCE OFFICER; INTERIM CCO; NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS (+4 more) | — |
| WRIGHT DANIEL EUGENE | NPH SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER; NPH SVP CHIEF COMPLIANCE OFFICER; SENIOR VICE PRESIDENT | — |
| LIVINGSTON JAMES LOYD JR | NPH PRESIDENT & CEO; NPH PRESIDENT & CEO/DIRECTOR | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/2225/brochure
- Similar advisers: https://search.stillhousedata.com/firm/2225/similar
- Related entities: https://search.stillhousedata.com/firm/2225/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/2225

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.