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JD

Jean L. Dretske

CARL M. HENNIG
Oshkosh, WI 54901
Some features on this profile are disabled
CRD#: 1938685
JD

Professional summary

Jean L Dretske is a registered financial professional currently at CARL M. HENNIG, INC. located in Oshkosh, Wisconsin.

Jean is registered as a RR (Registered Representative) and started their career in finance in 1989. Jean has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jean L Dretske'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

April 26, 1989 - Present

CARL M. HENNIG, INC.

Office #1: 206 N Main Street, Oshkosh, WI 54901Office #2: 189 Broadway St Suite A, Berlin, WI 54923
RIA
BD
CRD#: 140
Oshkosh, WI

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
Florida
(6/24/2019)
RR
Wisconsin
(5/9/1989)

Exams

State Security Law Exam
RR
Series 63
Date: 5/5/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/15/1989
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CARL M. HENNIG, INC.
CARL M. HENNIG, INC.
CARL M. HENNIG, INC.

CRD#: 140 / SEC#: , 8-14509

Illinois
Registered Investment Advisory firm - SEC (10/7/2013 Terminated)
Wisconsin
Registered Investment Advisory firm - SEC (4/4/2013 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
206 North Main Street, Oshkosh, WI 54901-4815
Mailing Address
206 North Main Street, Oshkosh, WI 54901
Phone number
+1 (920) 231-6630
Established
Wisconsin since 01/02/1969
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
1

FINRA licenses (15 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
HARENBURG, THOMAS ALANDIRECTOR237016
HARENBURG, SCOT ALANPRESIDENT/CHIEF COMPLIANCE OFFICER2330907
CARAMANIDIS, KURT JAMESVICE PRESIDENT4318374

Regulatory assets under management

Total Number of Accounts24
AUM (Assets Under Management)$ 24,700,000

Disclosures

Regulatory Event3

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

CARL M. HENNIG, INC.

CARL M. HENNIG, INC.

CRD#: 140Oshkosh, WI 54901

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