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WH

Wendy M. Hoeft

Some features on this profile are disabled
CRD#: 2850955
WH

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Wendy Maureen Hoeft, AIF®, who also goes by Wendy Maureen Dubinsky, Wendy M Hoeft, Wendy Maureen Rock, was a registered financial professional .

Wendy is a previously registered financial professional and started their career in finance in 1997. Wendy had worked at 5 firms and has passed the Series 66, Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Wendy Maureen Dubinsky | Wendy M Hoeft | Wendy Maureen Rock

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.
Johnson Bank; investment-related affiliate; 222 West College Avenue, Appleton, WI; wealth management, trust services, banking, loans; VP Wealth Advisor; October 2023; full-time advisor and dual employee of Johnson Bank and Johnson Wealth Inc.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
AIF®

Accredited Investment Fiduciary

Experience

Past

October 19, 2023 - October 9, 2024

JOHNSON WEALTH INC.

RIA
CRD#: 125557
Appleton, WI
Past

June 22, 2016 - October 9, 2023

THE APPLETON GROUP, LLC

RIA
CRD#: 119209
APPLETON, WI
Past

January 11, 2006 - July 1, 2013

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

December 9, 2005 - January 3, 2006

CUNA BROKERAGE SERVICES, INC.

RIA
CRD#: 13941
APPLETON, WI
Past

October 21, 1998 - January 3, 2006

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
WAVERLY, IA
Past

March 24, 1997 - October 19, 1998

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI

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".
JW
JOHNSON WEALTH INC.
CLEARY GULL ADVISORS INC. | MBO CLEARY ADVISORS INC. | JOHNSON WEALTH INC. | JOHNSON FINANCIAL GROUP INC.

CRD#: 125557 / SEC#: 801-61862

RIA
Registered Investment Advisory firm - (3/4/2003 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/8/2005
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/27/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/25/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/21/1997
General Securities Representative Examination

Current Firm

JW
JOHNSON WEALTH INC.
CLEARY GULL ADVISORS INC. | MBO CLEARY ADVISORS INC. | JOHNSON WEALTH INC. | JOHNSON FINANCIAL GROUP INC.

CRD#: 125557 / SEC#: 801-61862

RIA
Registered Investment Advisory firm - (3/4/2003 Approved)
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Contact information

Main Address
555 East Wells Street Suite 1900, Milwaukee, WI 53202
Mailing Address
Phone number
(414) 291-4500
Established
Firm type
Fiscal year end
# of Employees
132

SEC notice filing (45 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

JWI BROCHURE 3-27-2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts6,888
AUM (Assets Under Management)$ 9,109,318,040

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/27/2025
Cover Page
Report
10/25/2023
Cover Page
Report
12/21/2022
Cover Page
Report

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

JOHNSON WEALTH INC.

CRD#: 125557

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