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KE

Karen J. Ellenbecker

ELLENBECKER INVESTMENT GROUP
Waukesha, WI 53188
Some features on this profile are disabled
CRD#: 1412296
KE

Professional summary

Karen Jean Ellenbecker, who also goes by Karen Jean Cunningham, Karen J Ellenbecker, is a registered financial advisor currently at ELLENBECKER INVESTMENT GROUP located in Waukesha, Wisconsin.

Karen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Karen has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Karen Jean Cunningham | Karen J Ellenbecker

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.
1) LIFETIME PLANNING INSTITUTE, INC. - PRESIDENT. 2) ELLENBECKER INVESTMENT GROUP CHARITABLE FOUNDATION - PRESIDENT INVOLVED WITH PROVIDING BASIC SUPPLIES TO UNDERPRIVILEDGED CHILDREN. 3) WISCONSIN CLUB - MEMBER OF BOARD OF DIRECTORS. 4) FOUNDATIONS BANK BOARD - MEMBER OF BOARD OF DIRECTORS. 5) MILWAUKEE FILM BOARD - BOARD MEMBER 6) STAND-UP-AND-PLAY.COM - MEMBER OF BOARD OF DIRECTORS. 7) BETTER BUSINESS BUREAU OF WISCONSIN, INC. - MEMBER OF THE INVESTMENT COMMITTEE. 8) ELLENBECKER INVESTMENT GROUP - FOUNDER AND WEALTH ADVISOR FOR ORIA.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen Jean Ellenbecker's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 2, 2014 - Present

ELLENBECKER INVESTMENT GROUP

Office #1: N21 W23350 Ridgeview Parkway, Waukesha, WI 53188
RIA
CRD#: 173851
Waukesha, WI
Past

January 9, 1997 - April 1, 2015

SII INVESTMENTS, INC.

RIA
CRD#: 2225
PEWAUKEE, WI
Past

January 9, 1997 - April 1, 2015

SII INVESTMENTS, INC.

BD
CRD#: 2225
PEWAUKEE, WI
Past

March 12, 1990 - January 2, 1997

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

December 23, 1985 - July 23, 1988

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158

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".
EI
ELLENBECKER INVESTMENT GROUP
EIG | ELLENBECKER INVESTMENT GROUP, INC. | ELLENBECKER INVESTMENT GROUP

CRD#: 173851 / SEC#: 801-80600

RIA
Registered Investment Advisory firm - (12/2/2014 Approved)

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.

Highlighted states indicate IAR registrations

IAR
Wisconsin
(12/2/2014)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/15/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/3/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/1/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/21/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 4/10/2004
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/29/1998
General Securities Principal Examination

Current Firm

EI
ELLENBECKER INVESTMENT GROUP
EIG | ELLENBECKER INVESTMENT GROUP, INC. | ELLENBECKER INVESTMENT GROUP

CRD#: 173851 / SEC#: 801-80600

RIA
Registered Investment Advisory firm - (12/2/2014 Approved)
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Contact information

Main Address
N21 W23350 Ridgeview Parkway, Waukesha, WI 53188
Mailing Address
Phone number
(262) 691-3200
Established
Firm type
Fiscal year end
# of Employees
42

SEC notice filing (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2A (3/25/2025)

Regulatory assets under management

Total Number of Accounts2,152
AUM (Assets Under Management)$ 1,731,276,641

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

ELLENBECKER INVESTMENT GROUP

CRD#: 173851Waukesha, WI 53188

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