Kathryn A. Wenzel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kathryn Anne Wenzel, who also goes by Kathryn Wenzel Heilman, Kay Wenzel Heilman, Ksthryn W Heilman, Kay Anne Wenzel, Kay Wenzel, Kathryn Anne Wenzel-heilman, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 1987. Kathryn had worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2013 - November 9, 2017
B. C. ZIEGLER AND COMPANY
June 5, 2013 - November 9, 2017
B. C. ZIEGLER AND COMPANY
October 5, 2009 - June 10, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - June 10, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
August 10, 2004 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
August 10, 2004 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
May 22, 2003 - August 25, 2004
VALIC FINANCIAL ADVISORS, INC.
August 9, 2002 - August 25, 2004
VALIC FINANCIAL ADVISORS, INC.
July 30, 1997 - September 25, 1997
CAPITAL FINANCIAL SERVICES, INC.
March 24, 1995 - July 5, 1995
PERSHING LLC
August 23, 1994 - November 10, 1994
FINANCIAL SQUARE PARTNERS
July 9, 1990 - July 11, 1994
WILLIAM BLAIR
August 26, 1988 - April 9, 1990
DICKINSON & CO.
March 25, 1987 - September 6, 1988
THOMSON MCKINNON SECURITIES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
B. C. ZIEGLER AND COMPANY
CRD#: 61 / SEC#: 801-19699, 8-94
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ZIEGLER COMPANIES, INC. | PARENT COMPANY | |
| DAVID, ANGELIQUE ATHIENA | EMD, GENERAL COUNSEL, CORPORATE SECRETARY, COO | 5445800 |
| HERMANN, DANIEL JOSEPH | CEO AND PRESIDENT | 1790977 |
| JEFFERSON, RYAN T | MANAGING DIRECTOR, CFO & DIRECTOR | 5844031 |
| KERR, MARCLETTA R | DIRECTOR, CHIEF COMPLIANCE OFFICER | 7463114 |
| STROM, KEVIN LOUIS | EMD HEAD OF CAPITAL MARKETS | 1595516 |
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 2 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Wisconsin | ERA - Withdrawn | 3/3/2025 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
