Wayne E. Koffarnus

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CRD#: 3142977

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.

Wayne Edward Koffarnus was a registered financial professional .

Wayne is a previously registered financial professional and started their career in finance in 1998. Wayne had worked at 6 firms and has passed the Series 63, Series 7, Series 62 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

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®

None

Experience

Past

February 3, 2011 - December 6, 2012

OARSMAN CAPITAL, INC

RIA

CRD#: 109993

MILWAUKEE, WI

Past

June 24, 2010 - November 20, 2012

EAGLE ONE INVESTMENTS, LLC

RIA

CRD#: 45254

BISMARCK, ND

Past

September 22, 2009 - November 20, 2012

EAGLE ONE INVESTMENTS, LLC

CRD#: 45254

WASHINGTON, IA

Past

January 2, 2004 - September 8, 2009

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

APPLETON, WI

Past

January 16, 2002 - January 20, 2009

NACKERS & ASSOCIATES, INC.

RIA

CRD#: 106815

BROOKFIELD, WI

Past

February 5, 1999 - December 31, 2003

INVESTMENT DESIGNERS, INC.

CRD#: 19527

BROOKFIELD, WI

Past

November 9, 1998 - February 9, 1999

PACKERLAND BROKERAGE SERVICES, INC.

CRD#: 37031

GREEN BAY, 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".

OARSMAN CAPITAL, INC

LRC AVIATION ADVISORS | OARSMAN CAPITAL, INC | NACKERS & ASSOCIATES, A DIVISION OF OARSMAN CAPITAL, INC.

CRD#: 109993 / SEC#: 801-60988

RIA

Registered Investment Advisory firm - (3/15/2002 Approved)

Washington

Registered Investment Advisory firm - (3/27/2002 Terminated)

Wisconsin

Registered Investment Advisory firm - (4/5/2002 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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: 11/6/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/11/2001

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 6/4/1999

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 11/6/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

OARSMAN CAPITAL, INC

LRC AVIATION ADVISORS | OARSMAN CAPITAL, INC | NACKERS & ASSOCIATES, A DIVISION OF OARSMAN CAPITAL, INC.

CRD#: 109993 / SEC#: 801-60988

RIA

Registered Investment Advisory firm - (3/15/2002 Approved)

Washington

Registered Investment Advisory firm - (3/27/2002 Terminated)

Wisconsin

Registered Investment Advisory firm - (4/5/2002 Terminated)

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Contact information

Main Address

790 North Water Street Suite 1850, Milwaukee, WI 53202

Mailing Address

Phone number

(414) 221-0081

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OARSMAN CAPITAL ADV PART 2 (11/25/2025)

Regulatory assets under management

Total Number of Accounts	1,872
AUM (Assets Under Management)	$ 926,809,806

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.

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Advisor Monitoring

Firm Stability Insights

Wayne E. Koffarnus

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EAGLE ONE INVESTMENTS, LLC

EAGLE ONE INVESTMENTS, LLC

WATERSTONE FINANCIAL GROUP, INC.

NACKERS & ASSOCIATES, INC.

INVESTMENT DESIGNERS, INC.

PACKERLAND BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

OARSMAN CAPITAL, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/6/1998

Series 7

Date: 12/11/2001

Series 62

Date: 6/4/1999

Series 6

Date: 11/6/1998

Current Firm

OARSMAN CAPITAL, INC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OARSMAN CAPITAL, INC

TRUST BUT VERIFY

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