RH
Richard G. Haffele
PACKERLAND BROKERAGE SERVICES
Middleton, WI 53562
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CRD#: 1092153
RH
Professional summary
Richard George Haffele, ChFC®, CLU®, who also goes by Dick George Haffele, is a registered financial advisor currently at PACKERLAND BROKERAGE SERVICES, INC. located in Middleton, Wisconsin.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dick George Haffele
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
FINANCIAL PARTNERS OF WI, LLC 6405 CENTURY AVE, SUITE 103 MIDDLETON, WI 53562 TITLE: PRESIDENT DUTIES: INSURANCE SALES, LONG TERM CARE, FIXED ANNUITIES, AND INVESTMENTS HOURS DEVOTED: 40 HOURS A WEEK START DATE: 5/2006 INSURANCE AND INVESTMENT RELATED HOURS DEVOTED: 2 HOURS A WEEK START DATE: 7/2001 NON INVESTMENT OR INSURANCE RELATED 2) SIA BROKERAGE 1730 BURNT BOAT DR BISMARK, ND 58503 TITLE: ADVISOR DUTIES: LONG TERM SALES HOURS DEVOTED: 10 HOURS A WEEK START DATE: 12/2012 NON INVESTMENT, BUT IS INSURANCE RELATED 3)HIGHLAND CAPITAL BROKERAGE MILWAUKEE BRANCH 12700 W BLUEMOND RD ELM GROVE, WI 53122 TITLE: ADVISOR DUTIES: INSURANCE SALES, LONG TERM CARE, DISABILITY, INDEXED ANNUITIES HOURS DEVOTED: 10 HOURS A WEEK START DATE: 05/2006 INVESTMENT AND INSURANCE RELATED 4)KANSAS CITY LIFE 3520 BROADWAY KANSAS CITY, MO 64111 TITLE: GENERAL AGENT DUTIES: INSURANCE SALES, FIXED ANNUITIES HOURS DEVOTED: 20 HOURS A WEEK START DATE: 05/2006 INVESTMENT AND INSURANCE RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Richard George Haffele's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard George Haffele's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
December 16, 2014 - Present
PACKERLAND BROKERAGE SERVICES, INC.
Office #1: 6405 Century Ave Suite 103, Middleton, WI 53562Office #2: 6405 Century Ave Suite 103, Middleton, WI 53562RIA
BD
CRD#: 37031
Middleton, WI
Current
December 16, 2014 - Present
PACKERLAND BROKERAGE SERVICES, INC.
Office #1: 6405 Century Ave Suite 103, Middleton, WI 53562RIA
BD
CRD#: 37031
Middleton, WI
Past
May 30, 2006 - October 31, 2014
SUNSET FINANCIAL SERVICES, INC.
BD
CRD#: 3538
MIDDLETON, WI
Past
April 28, 2005 - May 23, 2006
CATHOLIC FINANCIAL SERVICES CORPORATION
BD
CRD#: 37185
MILWAUKEE, WI
Past
January 25, 2001 - February 3, 2005
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
January 25, 2001 - February 3, 2005
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
May 3, 1983 - September 11, 2000
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/20/2022)
RR
Arkansas(1/8/2016)
RR
California(8/8/2018)
IAR
California(8/8/2018)
RR
Florida(3/22/2024)
RR
Minnesota(3/6/2015)
RR
Missouri(8/14/2015)
RR
Texas(4/18/2018)
IAR
Texas(4/18/2018)
RR
Washington(3/9/2020)
IAR
Wisconsin(12/16/2014)
RR
Wisconsin(12/17/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
432 Security Blvd. Ste. 101, Green Bay, WI 54313-9709
Mailing Address
432 Security Blvd., Green Bay, WI 54313
Phone number
(920) 662-9500
Established
Wisconsin since 07/11/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
286
SEC notice filing (47 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KELLY, ZACHARY P | DIRECTOR, SHAREHOLDER, CEO, BOARD PRESIDENT & SECRETARY | 5263665 |
| VAN ESS, WILLIAM SCOTT | DIRECTOR, SHAREHOLDER, CHAIRMAN OF THE BOARD | 1929840 |
| WESTENBERG, STEVEN G | DIRECTOR, SHAREHOLDER, VICE CHAIRMAN , TREASURER | 2440924 |
| BOSTWICK, KAREN P | SHAREHOLDER | 2643853 |
| DOELGER, AARON ANDREW | SHAREHOLDER, CHIEF COMPLIANCE OFFICER | 4357639 |
Regulatory assets under management
| Total Number of Accounts | 4,245 |
| AUM (Assets Under Management) | $ 909,478,703 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031Middleton, WI 53562TRUST BUT VERIFY
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