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JW

Jeffrey J. Wozniak

SPECTRUM INVESTMENT ADVISORS
Mequon, WI 53092
Some features on this profile are disabled
CRD#: 2914517
JW

Professional summary

Jeffrey James Wozniak, who also goes by Jeffrey Wozniak, is a registered financial advisor currently at SPECTRUM INVESTMENT ADVISORS, INC. located in Mequon, Wisconsin.

Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Jeffrey has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jeffrey Wozniak

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) - RIA

Click below to view Jeffrey James Wozniak'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

October 23, 2025 - Present

SPECTRUM INVESTMENT ADVISORS, INC.

Office #1: 6329 West Mequon Road, Mequon, WI 53092
RIA
CRD#: 108669
Mequon, WI
Past

April 11, 2022 - July 16, 2024

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
WAUWATOSA, WI
Past

May 2, 2001 - January 28, 2003

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

July 12, 1999 - May 2, 2001

WELLS FARGO SECURITIES INC.

BD
CRD#: 17438
SAN FRANCISCO, CA
Past

December 3, 1998 - July 12, 1999

ARK FUNDS DISTRIBUTORS, LLC

BD
CRD#: 17685
PORTLAND, ME

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".
SI
SPECTRUM INVESTMENT ADVISORS, INC.
CHRISTIANSEN INVESTMENTS INC | SPECTRUM INVESTMENT ADVISORS, INC.

CRD#: 108669 / SEC#: 801-56966

RIA
Registered Investment Advisory firm - (11/9/1999 Approved)

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
Wisconsin
(10/23/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/2/2025
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/28/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 4/11/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/11/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/23/1998
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SI
SPECTRUM INVESTMENT ADVISORS, INC.
CHRISTIANSEN INVESTMENTS INC | SPECTRUM INVESTMENT ADVISORS, INC.

CRD#: 108669 / SEC#: 801-56966

RIA
Registered Investment Advisory firm - (11/9/1999 Approved)
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Contact information

Main Address
6329 West Mequon Road, Mequon, WI 53092
Mailing Address
Phone number
(262) 238-4010
Established
Firm type
Fiscal year end
# of Employees
24

SEC notice filing (8 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

SIA FORM ADV PART 2A BROCHURE (3/12/2025)

Regulatory assets under management

Total Number of Accounts1,026
AUM (Assets Under Management)$ 849,662,094

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

SPECTRUM INVESTMENT ADVISORS, INC.

CRD#: 108669Mequon, WI 53092

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