CB
Carolyn A. Baeten
PACKERLAND BROKERAGE SERVICES
Depere, WI 54115
Some features on this profile are disabled
CRD#: 2262789
CB
Professional summary
Carolyn Ann Baeten, CLU®, who also goes by Carrie Baeten, Carolyn Ann Micke, Carrie Micke, is a registered financial advisor currently at PACKERLAND BROKERAGE SERVICES, INC. located in Depere, Wisconsin.
Carolyn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Carolyn has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carrie Baeten | Carolyn Ann Micke | Carrie Micke
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) INSURANCE SERVICE CENTER LLC, INSURANCE SALES, APPT W/ VARIOUS CO'S. EQUITY INDEXED ANNUITIES. PRODUCTS: LIFE, HEALTH, DISABILITY, P&C, DENTAL & LTC. INVEST. RELATED. START DATE 1/1996, TIME DEVOTED 40 HOURS A WEEK. 2) RYAN FUNERAL HOME 10 TH STREET DEPERE, WI 54115 TITLE: OWNER DUTIES: BOOK KEEPING AND PAYROLL HOURS DEVOTED: 1 HOUR, ZERO DURING SECURITY TRADING HOURS START DATE: 9/30/2016 NON INVESTMENT OR INSURANCE RELATED 3) BETTERLIFE SALES OF LIFE INSURANCE AND FIXED AND FIXED INDEXED ANNUITIES START DATE: 1/2021 APPROXIMATELY 160 HRS PER MONTH NON-SECURITIES RELATED 4) WDFI-NOTARY PUBLIC TITLE: NOTARY PUBLIC 436 MAIN AVE DEPERE, WI 54115 START DATE: 10/2021 INVESTMENT AND INSURANCE RELATED 5) ISC PROPERTIES LLC TITLE: HALF OWNER 436 MAIN AVE DEPERE, WI 54115 START DATE: 2005 TOTAL HOURS PER MONTH: ZERO NON-INVESTMENT AND INSURANCE RELATED 6) BENEFITS RECEIVED AS EMPLOYEE OF BETTERLIFE 436 MAIN AVE DEPERE, WI 54115 START DATE: 1/2021 APPROXIMATELY 160 HOURS PER MONTH INVESTMENT AND INSURANCE RELATED 7) BAETEN PROPERTIES RENTAL INCOME FROM NICKEL FUNERAL HOME 2811 COUNTY LINE ROAD DEPERE, WI 54115 NON-INVESTMENT RELATED 8)RYAN FUNERAL HOME( CARRIE AND HUSBAND OWN THIS FUNERAL HOME) 305 N 10TH STREET DEPERE, WI 54115 ADMINISTRATIVE, VICE PRESIDENT AND TREASURER( NOT COMPENSATED FOR VICE PRESIDENT AND TREASURER POSITIONS) NON-INVESTMENT RELATED 9) BAETEN PROPERTIES;OWNER OF CEDER CREEK OF DEPERE LLC 1028 CEDAR STREET DEPERE, WI 54115 NON-INVESTMENT RELATED 1-2 HOURS DEVOTED PER MONTH
CRS (Client Relationship Summary) - RIA
Click below to view Carolyn Ann Baeten's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carolyn Ann Baeten'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®
Experience
Current
November 30, 2011 - Present
PACKERLAND BROKERAGE SERVICES, INC.
Office #1: 436 Main, Depere, WI 54115RIA
BD
CRD#: 37031
Depere, WI
Current
January 19, 1999 - Present
PACKERLAND BROKERAGE SERVICES, INC.
Office #1: 436 Main, Depere, WI 54115RIA
BD
CRD#: 37031
Depere, WI
Past
January 16, 1997 - January 19, 1999
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
January 9, 1995 - December 31, 1996
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
LOS ANGELES, CA
Past
September 6, 1994 - January 13, 1995
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Past
September 16, 1992 - January 13, 1995
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Wisconsin(1/19/1999)
IAR
Wisconsin(11/30/2011)
Exams
State Security Law Exam
State Security Law 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.
