FM
Fred H. Marshall
PACKERLAND BROKERAGE SERVICES
MADISON, WI
Some features on this profile are disabled
CRD#: 1782247
FM
Professional summary
Fred Herman Marshall, who also goes by Fred Marshall, is a registered financial advisor currently at PACKERLAND BROKERAGE SERVICES, INC. located in Madison, Wisconsin.
Fred is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Fred has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Fred Marshall
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.
INDEPENDENT INS. AGT. PRODUCTS: LIFE, HEALTH, MEDICARE ADVANTAGE PLANS, DI, LTC, FIXED & EQUITY INDEX ANNUITIES,P&C, FUNERAL TRUST & ESTATE TRUST. 20 HRS A MONTH. APPT W/ VARIOUS COMPANIES. FHM INVESTMENTS 5909 SHARPSBURG DRIVE #301 MADISON, WI 53718 START DATE 2/1988. SOLE PROPRIETOR/OWNER MARSHALL FINANCIAL GRP 5909 SHARPSBURG DRIVE MADISON, WI 53718 RHUMBA 4 RAINBOW CHARITY FUND RAISER 831 E WASHINGTON AVE, MADISON, WI 53703 TITLE/DUTIES: FUND RAISING, TICKET SALES, BOOK ACTS, ORGANIZATION CHARITY WORK HOURS DEVOTED: 4 START DATE: 1/1/2006 NON INVESTMENT OR INSURANCE RELATED SPORTS TICKET SALES SEASON TICKET HOLDER FOR VARIOUS PROFESSIONAL WI SPORTS TEAMS WILL SELL TICKETS ON OCCASION 5909 SHARPSBURG DRIVE #301 MADISON, WI 53718 NON-INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Fred Herman Marshall's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Fred Herman Marshall'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
December 16, 2005 - Present
PACKERLAND BROKERAGE SERVICES, INC.
RIA
BD
CRD#: 37031
MADISON, WI
Current
December 16, 2005 - Present
PACKERLAND BROKERAGE SERVICES, INC.
RIA
BD
CRD#: 37031
MADISON, WI
Past
February 15, 2005 - December 7, 2005
HARBOUR INVESTMENTS, INC.
BD
CRD#: 19258
MADISON, WI
Past
March 4, 1988 - January 20, 2005
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
March 4, 1988 - January 20, 2005
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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
California(11/21/2018)
RR
Florida(10/3/2006)
IAR
Florida(3/29/2024)
RR
Georgia(4/2/2020)
IAR
Georgia(4/2/2020)
RR
Hawaii(3/8/2017)
IAR
Hawaii(5/21/2024)
RR
Illinois(12/16/2005)
IAR
Illinois(7/27/2015)
RR
Michigan(4/21/2021)
IAR
Michigan(4/21/2021)
RR
Minnesota(12/5/2017)
RR
New Mexico(7/16/2021)
IAR
New Mexico(7/16/2021)
RR
New York(12/16/2005)
RR
Oregon(7/26/2022)
IAR
Oregon(7/26/2022)
RR
Washington(3/20/2013)
IAR
Washington(4/5/2017)
RR
Wisconsin(12/16/2005)
IAR
Wisconsin(12/16/2005)
Exams
State Security Law Exam
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.
