Gregory J. Schroeder

WISCO INVESTMENT MANAGEMENT LLC

MADISON, WI 53719

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CRD#: 2518396

Professional summary

Gregory Joseph Schroeder is a registered financial advisor currently at WISCO INVESTMENT MANAGEMENT LLC located in Madison, Wisconsin.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Gregory has worked at 13 firms and has passed the Series 63, Series 66, Series 86, Series 87, Series 7 and Series 16 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

NAME: WISCO RESEARCH LLC INVESTMENT-RELATED: YES ADDRESS: 437 S. YELLOWSTONE DRIVE, SUITE 101, MADISON, WI 53719 NATURE OF OTHER BUSINESS: INVESTMENT CONSULTING FIRM PRODUCING INDEPENDENT RESEARCH. POSITION/TITLE/RELATIONSHIP AND DUTIES: AS INACTIVE OWNER, I OVERSEE THE BUSINESS AND MANAGE THE ACCOUNTING FUNCTION; AS MANAGING DIRECTOR AND SENIOR EQUITY ANALYST, I COVER THE RESTAURANT INDUSTRY. START DATE: 7/1/2008 HOURS DEVOTED TO WISCO: 160 HRS./MONTH INCLUDING ALL TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Joseph Schroeder'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

March 30, 2011 - Present

WISCO INVESTMENT MANAGEMENT LLC

Office #1: 402 Gammon Place, Suite 380, Madison, WI 53719

RIA

CRD#: 156476

MADISON, WI

Past

August 16, 2010 - November 17, 2010

MORGAN JOSEPH TRIARTISAN LLC

CRD#: 10948

NEW YORK, NY

Past

July 31, 2009 - March 3, 2010

JESUP & LAMONT SECURITIES CORP

CRD#: 39056

NEW YORK, NY

Past

April 20, 2009 - November 24, 2009

WISCO RESEARCH LLC

RIA

CRD#: 150072

MADISON, WI

Past

December 3, 2008 - March 13, 2009

SOLEIL SECURITIES CORPORATION

CRD#: 124737

NEW YORK, NY

Past

December 14, 2007 - October 17, 2008

NAKOMA CAPITAL MANAGEMENT, LLC

RIA

CRD#: 108014

MADISON, WI

Past

December 14, 2004 - January 13, 2006

PIPER SANDLER & CO.

CRD#: 665

MADISON, WI

Past

May 6, 2004 - October 4, 2004

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

July 30, 2003 - December 17, 2003

SOLEIL SECURITIES CORPORATION

CRD#: 124737

NEW YORK, NY

Past

March 30, 2001 - July 23, 2003

FULCRUM GLOBAL PARTNERS LLC

CRD#: 104455

NEW YORK, NY

Past

August 22, 2000 - March 7, 2001

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

April 28, 2000 - July 19, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

November 23, 1998 - April 18, 2000

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

August 15, 1997 - July 21, 1998

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

December 5, 1994 - April 14, 1997

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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

Texas
(10/18/2023)

IAR

Wisconsin
(3/30/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/10/2008

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/17/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 86

Date: 12/22/2008

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 12/18/2008

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 12/2/2008

General Securities Representative Examination

General Industry/Product Exam

Series 16

Date: 1/30/2001

NYSE Supervisory Analyst Examination

Current Firm

WISCO INVESTMENT MANAGEMENT LLC

CRD#: 156476 / SEC#:

Texas

Registered Investment Advisory firm - (10/18/2023 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (3/30/2011 Approved)

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Contact information

Main Address

402 Gammon Place, Suite 380, Madison, WI 53719

Mailing Address

Phone number

(608) 442-5507

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	443
AUM (Assets Under Management)	$ 73,730,796

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Gregory J. Schroeder

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Joseph Schroeder's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN JOSEPH TRIARTISAN LLC

JESUP & LAMONT SECURITIES CORP

WISCO RESEARCH LLC

SOLEIL SECURITIES CORPORATION

NAKOMA CAPITAL MANAGEMENT, LLC

PIPER SANDLER & CO.

ADVEST, INC.

SOLEIL SECURITIES CORPORATION

FULCRUM GLOBAL PARTNERS LLC

JOSEPHTHAL & CO., INC.

CITIGROUP GLOBAL MARKETS INC.

JOSEPHTHAL & CO., INC.

LADENBURG THALMANN & CO. INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/10/2008

Series 66

Date: 1/17/2005

Series 86

Date: 12/22/2008

Series 87

Date: 12/18/2008

Series 7

Date: 12/2/2008

Series 16

Date: 1/30/2001

Current Firm

WISCO INVESTMENT MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WISCO INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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