LANDAAS & COMPANY, LLC of MILWAUKEE, WI is an SEC-registered investment adviser (CRD 47487). Regulatory assets under management: $1.9B.
Compensation: % of AUM, Hourly, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles, Other.
| Name | Role | Location |
|---|---|---|
| Robert William Landaas | CHAIRMAN AND CEO; MEMBER | — |
| Kyle Arthur Tetting | PRESIDENT | — |
| Reuben Tait Neese | MEMBER | — |
| Gery Joseph Sadzewicz | CHIEF COMPLIANCE OFFICER | — |
| Thomas Edward Shea | FINOP | — |
| Lauren Elizabeth Neese | MEMBER | — |
| Reuben Neese | MEMBER | — |
| LANDAAS ROBERT WILLIAM | CEO, DIRECTOR, TREASURER & SECRETARY; CHAIRMAN AND CEO; CHAIRMAN, CEO AND PRESIDENT (+3 more) | — |
| KILB BRIAN DONALD | EXECUTIVE VICE PRESIDENT,FINANCIAL AND OPERATIONS; MEMBER; PRESIDENT AND CHIEF OPERATING OFFICER (+2 more) | — |
| BALEY JEAN CAROL | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND MUNICIPAL SECURITIES PRINCIPAL; SENIOR VICE PRESIDENT, COMPLIANCE; SENIOR VICE PRESIDENT, COMPLIANCE AND MUNICIPAL SECURITIES PRINCIPAL | — |
| SMITH CLARENCE ANDREW | GENERAL SECURITIES PRINCIPAL | — |
| SADZEWICZ GERY JOSEPH | CHIEF COMPLIANCE OFFICER | — |
| HANSEN JEFFREY SCOTT | MUNICIPAL SECURITIES PRINCIPAL | — |
| SHEA MICHAEL EDWARD | FINOP | — |
| BECKER BRYAN RICHARD | VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | — |
| LANUEZ DANIEL C | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER & CHIEF COMPLIANCE OFFICER | — |
| TETTING KYLE ARTHUR | MEMBER; PRESIDENT | — |
| NEESE REUBEN | MEMBER | — |
| NEESE LAUREN ELIZABETH | MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-12-12 | regulatory | FROM 1999 THROUGH MARCH 2017, LANDAAS & COMPANY ("L&C") AND ITS CHAIRMAN AND SOLE OWNER ("LANDAAS") RECEIVED UNDISCLOSED FINANCIAL COMPENSATION BY HAVING AN UNAFFILIATED CLEARING BROKER CHARGE L&C ADVISORY CLIENTS A $20 MARK-UP INCLUDED IN THE CLEARING BROKER'S CONFIRMATION FEE. WHILE L&C USED A POR… | Final | $130K |
| 2017-02-22 | regulatory | LANDAAS & COMPANY WAS ALLEGED TO HAVE NOT BEEN PROPERLY REGISTERED AS A BROKER-DEALER IN THE STATE OF ALABAMA BEFORE PERFORMING BROKER-DEALER-RELATED ACTIVITIES FOR THE FIRM'S SINGLE ALABAMA-RESIDENT CLIENT. | Final | $6K |
| 2017-02-10 | regulatory | FAILURE TO REGISTERED IN THE STATE OF ALABAMA FOR BROKER/DEALER ACTIVITIES RELATED TO A SINGLE CLIENT. | Final | $6K |