MK
Mark S. Knepfel
PACKERLAND BROKERAGE SERVICES
Fond Du Lac, WI 54936-1375
Some features on this profile are disabled
CRD#: 1194126
MK
Professional summary
Mark Steven Knepfel is a registered financial professional currently at PACKERLAND BROKERAGE SERVICES, INC. located in Fond Du Lac, Wisconsin.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1983. Mark has worked at 14 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Mark Steven Knepfel'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®
NoneExperience
Current
March 21, 2019 - Present
PACKERLAND BROKERAGE SERVICES, INC.
Office #1: 45 S Main St, Fond Du Lac, WI 54936-1375RIA
BD
CRD#: 37031
Fond Du Lac, WI
Past
August 13, 2014 - January 11, 2016
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
SHEBOYGAN, WI
Past
August 13, 2014 - March 28, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
SHEBOYGAN, WI
Past
January 25, 2013 - August 14, 2014
FINANCIAL TELESIS INC
RIA
CRD#: 31012
SHEBOYGAN, WI
Past
January 25, 2013 - August 14, 2014
FINANCIAL TELESIS INC
BD
CRD#: 31012
SHEBOYGAN, WI
Past
October 16, 2009 - February 4, 2013
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
SHEBOYGAN, WI
Past
October 1, 2009 - October 27, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
SHEBOYGAN, WI
Past
October 1, 2009 - October 27, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
SHEBOYGAN, WI
Past
November 3, 2003 - October 2, 2009
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
SHEBOYGAN, WI
Past
November 3, 2003 - October 2, 2009
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
SHEBOYGAN, WI
Past
September 26, 2002 - October 13, 2003
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
June 5, 2000 - September 13, 2002
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
August 22, 1997 - May 30, 2000
CAPITAL FINANCIAL SERVICES, INC.
BD
CRD#: 8408
MINOT, ND
Past
September 29, 1994 - August 22, 1997
SII INVESTMENTS, INC.
BD
CRD#: 2225
APPLETON, WI
Past
April 19, 1993 - October 5, 1994
H. C. DENISON CO.
BD
CRD#: 1628
SHEBOYGAN, WI
Past
July 28, 1992 - March 10, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
Past
September 29, 1989 - December 31, 1991
COORDINATED CAPITAL SECURITIES, INC.
BD
CRD#: 14762
FORT ATKINSON, WI
Past
February 10, 1989 - October 28, 1989
SII INVESTMENTS, INC.
BD
CRD#: 2225
APPLETON, WI
Past
July 20, 1988 - February 14, 1989
COORDINATED CAPITAL SECURITIES, INC.
BD
CRD#: 14762
FORT ATKINSON, WI
Past
November 21, 1986 - May 27, 1987
FIRST BROKERAGE SERVICES, INC.
BD
CRD#: 18154
Past
March 7, 1985 - August 10, 1988
SII INVESTMENTS, INC.
BD
CRD#: 2225
APPLETON, WI
Past
October 24, 1983 - March 27, 1985
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
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.
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
Arkansas(3/21/2019)
RR
Michigan(3/21/2019)
RR
Texas(3/21/2019)
RR
Wisconsin(3/21/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
