LP
Loren J. Piotrowski
ASSOCIATED INVESTMENT SERVICES
Chicago, IL 60661
Some features on this profile are disabled
CRD#: 3170403
LP
Professional summary
Loren Jon Piotrowski, who also goes by Loren J Piotrowski, is a registered financial advisor currently at ASSOCIATED INVESTMENT SERVICES, INC. located in Chicago, Illinois.
Loren is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Loren has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Loren J Piotrowski
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.
CRS (Client Relationship Summary) - RIA
Click below to view Loren Jon Piotrowski's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Loren Jon Piotrowski'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®
NoneExperience
Current
October 1, 2021 - Present
ASSOCIATED INVESTMENT SERVICES, INC.
Office #1: 525 West Monroe Street, Chicago, IL 60661Office #2: 7722 Mineral Point Rd., Madison, WI 53717Office #3: 17100 W. Capital Dr., Brookfield, WI 53005Office #4: 2720 N. Lexington Dr., Janesville, WI 53545Office #5: 622 Roosevelt Rd., Machesney Park, IL 61115RIA
BD
CRD#: 1464
Chicago, IL
Current
October 1, 2021 - Present
ASSOCIATED INVESTMENT SERVICES, INC.
Office #1: 525 West Monroe Street, Chicago, IL 60661Office #2: 7722 Mineral Point Rd., Madison, WI 53717Office #3: 17100 W. Capital Dr., Brookfield, WI 53005Office #4: 2720 N. Lexington Dr., Janesville, WI 53545Office #5: 622 Roosevelt Rd., Machesney Park, IL 61115RIA
BD
CRD#: 1464
Chicago, IL
Past
June 21, 2021 - October 8, 2021
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
NAPERVILLE, IL
Past
June 21, 2021 - October 8, 2021
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
NAPERVILLE, IL
Past
January 14, 2015 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
OAK BROOK, IL
Past
January 14, 2015 - January 11, 2021
TD AMERITRADE, INC.
RIA
CRD#: 7870
OAK BROOK, IL
Past
January 14, 2015 - January 11, 2021
TD AMERITRADE, INC.
BD
CRD#: 7870
OAK BROOK, IL
Past
August 12, 2013 - December 22, 2014
ASSOCIATED INVESTMENT SERVICES, INC.
RIA
CRD#: 1464
AURORA, IL
Past
August 12, 2013 - December 22, 2014
ASSOCIATED INVESTMENT SERVICES, INC.
BD
CRD#: 1464
AURORA, IL
Past
July 15, 2010 - August 7, 2013
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
CLARENDON HILLS, IL
Past
July 15, 2010 - August 7, 2013
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
CLARENDON HILLS, IL
Past
November 26, 2008 - July 9, 2010
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
CHICAGO, IL
Past
November 26, 2008 - July 9, 2010
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
CHICAGO, IL
Past
October 19, 2005 - November 19, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
BD
CRD#: 103919
SCHAUMBURG, IL
Past
September 4, 2002 - October 28, 2005
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
May 2, 2002 - August 21, 2002
CHARTER ONE SECURITIES, INC.
BD
CRD#: 13373
CLEVELAND, OH
Past
January 26, 1999 - March 26, 2002
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
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".
ASSOCIATED INVESTMENT SERVICES, INC.
ASSOCIATED | ASSOCIATED WEALTH MANAGEMENT | ASSOCIATED INVESTMENT SERVICES, INC. | ASSOCIATED INVESTMENT SERVICES GROUP, INC. | ASSOCIATED INVESTMENT SERVICES GROUP | ASSOCIATED BANK PRIVATE WEALTH
CRD#: 1464 / SEC#: 801-71639, 8-99
RIA
Registered Investment Advisory firm - SEC (7/1/2010 Approved)Illinois
Registered Investment Advisory firm - SEC (7/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - SEC (7/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/20/2010 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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(10/1/2021)
IAR
Illinois(10/1/2021)
RR
Wisconsin(10/1/2021)
IAR
Wisconsin(10/5/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
ASSOCIATED INVESTMENT SERVICES, INC.
ASSOCIATED | ASSOCIATED WEALTH MANAGEMENT | ASSOCIATED INVESTMENT SERVICES, INC. | ASSOCIATED INVESTMENT SERVICES GROUP, INC. | ASSOCIATED INVESTMENT SERVICES GROUP | ASSOCIATED BANK PRIVATE WEALTH
CRD#: 1464 / SEC#: 801-71639, 8-99
RIA
Registered Investment Advisory firm - SEC (7/1/2010 Approved)Illinois
Registered Investment Advisory firm - SEC (7/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - SEC (7/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/20/2010 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
433 Main Street, Green Bay, WI 54301-5114
Mailing Address
P.o. Box 640, Green Bay, WI 54305-0640
Phone number
(800) 595-7722
Established
Wisconsin since 03/23/1923
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
62
SEC notice filing (19 States and Territories)
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASSOCIATED TRUST COMPANY, N.A. | SOLE SHAREHOLDER | |
| ARNOLD, ANDREW JAMES | DIRECTOR, TREASURER | 7744204 |
| BIESE, JUSTIN MICHAEL | PRINCIPAL, FINANCIAL REPORTING | 8134423 |
| CRAVILLION, BETH ANN | DIRECTOR OF SUPPORT SERVICES | 4770231 |
| DELOYE, DENNIS MICHAEL | DIRECTOR, BOARD OF DIRECTORS | 7555524 |
| HLADIO, JAYNE CLARA | DIRECTOR, BOARD OF DIRECTORS | 2497546 |
| HOCHHOLZER, MICHAEL ROBERT | DIRECTOR, BOARD OF DIRECTORS | 2878493 |
| KUIPERS, MICHAEL DAVID | DIRECTOR, PRESIDENT & CEO | 2436388 |
| PECORA, ANTHONY PHILIP | CHIEF COMPLIANCE OFFICER | 2975013 |
| SORENSON, HEATH WILLIAM | CHAIRMAN, BOARD OF DIRECTORS | 4528655 |
| ZANDPOUR, STEVEN SIA | DIRECTOR, BOARD OF DIRECTORS | 7174720 |
Regulatory assets under management
| Total Number of Accounts | 5,050 |
| AUM (Assets Under Management) | $ 1,000,633,569 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/15/2025 | ||
| 09/26/2024 | ||
| 08/21/2023 | ||
| 10/19/2022 |
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.
