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AE

Anne T. Ertel-sawasky

UNIQUE INVESTMENT ADVISORS
Nashville, TN 37205
Some features on this profile are disabled
CRD#: 1739818
AE

Professional summary

Anne Therese Ertel-sawasky, who also goes by Anne Therese Ertel, Anne Therese Ertelsawasky, Anne Therese Sawasky, is a registered financial advisor currently at UNIQUE INVESTMENT ADVISORS, LLC located in Nashville, Tennessee.

Anne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Anne has worked at 3 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Anne Therese Ertel | Anne Therese Ertelsawasky | Anne Therese Sawasky

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) Quo Vadis Solutions LLC; Appleton, WI; Inv Rel; Business Consultant/Ins Agent; Start 11/2024; Insurance sales and services; 54 hrs/mo; 54 hrs during sec trading. (2) Sawasky Law LLC; Racine, WI; Not investment related; Owner and Attorney of firm; Established this firm in 03/1997; Law practice; Spend approx. 1-2 hours devoted a month during trading hours or evenings/weekends.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anne Therese Ertel-sawasky'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®
None

Experience

Current

April 4, 2025 - Present

UNIQUE INVESTMENT ADVISORS, LLC

Office #1: 95 White Bridge Pike Suite 310, Nashville, TN 37205
RIA
CRD#: 310170
Nashville, TN
Past

September 8, 2016 - April 28, 2025

PAUL WINKLER, INC.

RIA
CRD#: 119342
Nashville, TN
Past

October 5, 1987 - March 12, 1997

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
MINNEAPOLIS, MN

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
Arizona
(7/3/2025)
IAR
California
(4/4/2025)
IAR
Tennessee
(4/30/2025)
IAR
Wisconsin
(4/4/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/7/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/23/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 9/17/1987
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 11/23/1987
Investment Company Products/Variable Contracts Principal Examination

Current Firm

UI
UNIQUE INVESTMENT ADVISORS, LLC
UNIQUE INVESTMENT ADVISORS, LLC

CRD#: 310170 / SEC#:

Arizona
Registered Investment Advisory firm - (9/1/2020 Approved)
California
Registered Investment Advisory firm - (10/9/2020 Approved)
Tennessee
Registered Investment Advisory firm - (4/29/2025 Approved)
Wisconsin
Registered Investment Advisory firm - (2/26/2025 Approved)
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Contact information

Main Address
Phoenix, AZ
Mailing Address
Phone number
(480) 805-0970
Established
Firm type
Fiscal year end
# of Employees
2

Documents

Latest Form ADV

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

UNIQUE INVESTMENT ADVISORS, LLC

CRD#: 310170Nashville, TN 37205

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