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CS

Carla A. Soczka

MWA FINANCIAL SERVICES
WAUSAU, WI 54401
Some features on this profile are disabled
CRD#: 2285112
CS

Professional summary

Carla Ann Soczka, CLU®, who also goes by Carla Ann Aschenbrener, Carla Ann Aschenbrener, is a registered financial professional currently at MWA FINANCIAL SERVICES INC. located in Wausau, Wisconsin.

Carla is registered as a RR (Registered Representative) and started their career in finance in 1992. Carla has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carla Ann Aschenbrener | Carla Ann Aschenbrener

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 Carla Ann Soczka'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®
CLU®

Chartered Life Underwriter

Experience

Current

August 10, 2012 - Present

MWA FINANCIAL SERVICES INC.

Office #1: 227500 Rib Mountain Drive Suite 201, Wausau, WI 54401
RIA
BD
CRD#: 112630
WAUSAU, WI
Past

May 5, 2004 - August 31, 2012

CATHOLIC FINANCIAL SERVICES CORPORATION

BD
CRD#: 37185
WAUSAU, WI
Past

May 9, 2003 - May 9, 2003

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
APPLETON, WI
Past

December 10, 1992 - May 3, 2004

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".
MF
MWA FINANCIAL SERVICES INC.
MWA FINANCIAL SERVICES INC. | MWA FINANCIAL SERVICES, INC.

CRD#: 112630 / SEC#: 801-107091, 8-53255

RIA
Registered Investment Advisory firm - SEC (1/4/2016 Approved)
Alabama
Registered Investment Advisory firm - SEC (4/11/2016 Terminated)
Arizona
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
California
Registered Investment Advisory firm - SEC (1/3/2010 Terminated)
Colorado
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)
Florida
Registered Investment Advisory firm - SEC (1/26/2016 Terminated)
Georgia
Registered Investment Advisory firm - SEC (2/12/2016 Terminated)
Idaho
Registered Investment Advisory firm - SEC (12/1/2011 Terminated)
Illinois
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)
Indiana
Registered Investment Advisory firm - SEC (1/29/2016 Terminated)
Iowa
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)
Kansas
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (12/18/2013 Terminated)
Maine
Registered Investment Advisory firm - SEC (2/2/2016 Terminated)
Maryland
Registered Investment Advisory firm - SEC (12/31/2015 Terminated)
Massachusetts
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
Michigan
Registered Investment Advisory firm - SEC (2/2/2016 Terminated)
Minnesota
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
Mississippi
Registered Investment Advisory firm - SEC (12/13/2013 Terminated)
Nebraska
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)
New Hampshire
Registered Investment Advisory firm - SEC (4/13/2016 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
Ohio
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)
Oklahoma
Registered Investment Advisory firm - SEC (12/12/2013 Terminated)
South Dakota
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)
Tennessee
Registered Investment Advisory firm - SEC (3/29/2016 Terminated)
Texas
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
Virginia
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
Wisconsin
Registered Investment Advisory firm - SEC (1/21/2016 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.

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
Illinois
(9/7/2022)
RR
Indiana
(10/29/2021)
RR
Minnesota
(10/7/2015)
RR
North Carolina
(9/18/2025)
RR
Wisconsin
(8/10/2012)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/30/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/26/1992
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 6
Date: 12/8/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/17/1997
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MF
MWA FINANCIAL SERVICES INC.
MWA FINANCIAL SERVICES INC. | MWA FINANCIAL SERVICES, INC.

CRD#: 112630 / SEC#: 801-107091, 8-53255

RIA
Registered Investment Advisory firm - SEC (1/4/2016 Approved)
Alabama
Registered Investment Advisory firm - SEC (4/11/2016 Terminated)
Arizona
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
California
Registered Investment Advisory firm - SEC (1/3/2010 Terminated)
Colorado
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)
Florida
Registered Investment Advisory firm - SEC (1/26/2016 Terminated)
Georgia
Registered Investment Advisory firm - SEC (2/12/2016 Terminated)
Idaho
Registered Investment Advisory firm - SEC (12/1/2011 Terminated)
Illinois
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)
Indiana
Registered Investment Advisory firm - SEC (1/29/2016 Terminated)
Iowa
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)
Kansas
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (12/18/2013 Terminated)
Maine
Registered Investment Advisory firm - SEC (2/2/2016 Terminated)
Maryland
Registered Investment Advisory firm - SEC (12/31/2015 Terminated)
Massachusetts
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
Michigan
Registered Investment Advisory firm - SEC (2/2/2016 Terminated)
Minnesota
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
Mississippi
Registered Investment Advisory firm - SEC (12/13/2013 Terminated)
Nebraska
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)
New Hampshire
Registered Investment Advisory firm - SEC (4/13/2016 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
Ohio
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)
Oklahoma
Registered Investment Advisory firm - SEC (12/12/2013 Terminated)
South Dakota
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)
Tennessee
Registered Investment Advisory firm - SEC (3/29/2016 Terminated)
Texas
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
Virginia
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)
Wisconsin
Registered Investment Advisory firm - SEC (1/21/2016 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
1701 1st Avenue, Rock Island, IL 61201
Mailing Address
1701 1st Avenue, Rock Island, IL 61201
Phone number
(309) 558-3100
Established
Illinois since 02/02/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
674

SEC notice filing (48 States and Territories)

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

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

MWAFS FORM CRS 7-2021 (3/31/2025)
MWAFS MANAGED ACCOUNTS BROCHURE PART 2A APPENDIX 1_3-28-2025 (3/31/2025)
MWAFS FINANCIAL PLANNING BROCHURE ADV PART 2A 3/28/2025 (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
MODERN WOODMEN OF AMERICAPARENT CO.
BOHNERT, LESTER LEEDIRECTOR6933862
DOYLE, SHEA EUGENESECRETARY/DIRECTOR4577202
EIGENBROD, NEIL THOMASFINOP5615693
JENSEN, DAWN MCHIEF OPERATIONS OFFICER4936560
LYPHOUT, JERALD JAMESDIRECTOR4148959
POGEMILLER, CLINT JOSEPHPRESIDENT/CHAIRMAN2977743
RECH, KELLIE MARIECHIEF COMPLIANCE OFFICER4863283
SIMMS, CHARLES EDMUNDDIRECTOR2553306
SWANSON, TODD DAVIDTREASURER4844282
VAN, BRETT MATTHEWDIRECTOR6543047

Regulatory assets under management

Total Number of Accounts2,298
AUM (Assets Under Management)$ 376,859,066

Disclosures

Regulatory Event1

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

MWA FINANCIAL SERVICES INC.

CRD#: 112630Wausau, WI 54401

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