Kirt D. Rezek

PROFESSIONAL FINANCIAL MANAGEMENT

APPLETON, WI 54914

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CRD#: 3209093

Professional summary

Kirt Douglas Rezek, CFP® is a registered financial advisor currently at PROFESSIONAL FINANCIAL MANAGEMENT, INC. located in Appleton, Wisconsin.

Kirt is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Kirt has worked at 5 firms and has passed the Series 63 and Series 7 exams.

Core Areas of Focus

College/Education Planning

Estate & Generational Planning Issues

Investment Advice with Ongoing Management

Retirement Planning & Distribution Rules

Question & Answer

What are your service offerings?

Comprehensive Financial Planni...

Investment Planning

Insurance Planning

Estate Planning

Tax Planning

Retirement Planning

Education Planning

What is your minimum asset requirement?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kirt Douglas Rezek'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®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

June 29, 2010 - Present

PROFESSIONAL FINANCIAL MANAGEMENT, INC.

Office #1: W6184 Aerotech Drive Suite A, Appleton, WI 54914

RIA

CRD#: 154016

APPLETON, WI

Past

January 22, 2010 - July 1, 2010

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

LITTLE CHUTE, WI

Past

December 23, 2009 - July 1, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

LITTLE CHUTE, WI

Past

March 5, 2007 - June 10, 2009

WEALTH MANAGEMENT LLC

RIA

CRD#: 109074

APPLETON, WI

Past

November 4, 1999 - November 19, 1999

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

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".

PROFESSIONAL FINANCIAL MANAGEMENT, INC.

CRD#: 154016 / SEC#: 801-135207

RIA

Registered Investment Advisory firm - (1/21/2026 Approved)

Texas

Registered Investment Advisory firm - (1/29/2026 Terminated)

Wisconsin

Registered Investment Advisory firm - (1/29/2026 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.

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
(7/23/2021)

IAR

Wisconsin
(6/29/2010)

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: 1/15/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/22/2009

General Securities Representative Examination

Current Firm

PROFESSIONAL FINANCIAL MANAGEMENT, INC.

CRD#: 154016 / SEC#: 801-135207

RIA

Registered Investment Advisory firm - (1/21/2026 Approved)

Texas

Registered Investment Advisory firm - (1/29/2026 Terminated)

Wisconsin

Registered Investment Advisory firm - (1/29/2026 Terminated)

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Contact information

Main Address

W6184 Aerotech Drive Suite A, Appleton, WI 54914

Mailing Address

Phone number

(920) 687-2600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROFESSIONAL FINANCIAL MANAGEMENT - BROCHURE (12/19/2025)

Regulatory assets under management

Total Number of Accounts	648
AUM (Assets Under Management)	$ 103,216,665

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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Kirt D. Rezek

Professional summary

Core Areas of Focus

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kirt Douglas Rezek's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROFESSIONAL FINANCIAL MANAGEMENT, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

WEALTH MANAGEMENT LLC

SUNAMERICA SECURITIES, INC.

Primary Firm SEC Registration

PROFESSIONAL FINANCIAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/15/2010

Series 7

Date: 12/22/2009

Current Firm

PROFESSIONAL FINANCIAL MANAGEMENT, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROFESSIONAL FINANCIAL MANAGEMENT, INC.

TRUST BUT VERIFY

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