William H. Niewoehner

WHN INVESTOR SERVICES

BROOKFIELD, WI 53045

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CRD#: 348217

Professional summary

William Herbert Niewoehner is a registered financial advisor currently at WHN INVESTOR SERVICES, INC. located in Brookfield, Wisconsin.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1968. William has worked at 9 firms and has passed the Series 63, Series 1 and Series 24 exams.

Question & Answer

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 William Herbert Niewoehner'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®

None

Experience

Current

March 29, 2001 - Present

WHN INVESTOR SERVICES, INC.

Office #1: 300 N. Corporate Dr., Brookfield, WI 53045

RIA

CRD#: 10046

BROOKFIELD, WI

Past

December 13, 1981 - April 27, 2001

WHN INVESTOR SERVICES, INC.

CRD#: 10046

BROOKFIELD, WI

Past

August 30, 1979 - August 4, 1981

THE J. F. PERRY CORPORATION

CRD#: 7837

Past

April 19, 1978 - September 17, 1979

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

Past

April 4, 1978 - April 27, 1978

BLUNT ELLIS & LOEWI INCORPORATED

CRD#: 7580

Past

October 22, 1974 - April 4, 1978

BLUNT ELLIS & SIMMONS INCORPORATED

CRD#: 98

Past

February 15, 1972 - December 5, 1974

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

Past

August 4, 1971 - February 27, 1972

FREDERICK & COMPANY, INC.

CRD#: 333

Past

April 26, 1971 - August 6, 1971

LOEWI & CO., INCORPORATED

CRD#: 526

Past

December 26, 1968 - February 4, 1971

KIDDER, PEABODY & CO., INCORPORATED

CRD#: 488

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
(3/29/2001)

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: 5/21/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 12/18/1968

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/2/1979

General Securities Principal Examination

Current Firm

WHN INVESTOR SERVICES, INC.

WHN INVESTOR SERVICES, INC. | WM. H. NIEWOEHNER & COMPANY, INC. | WM. H. NIEWOEHNER & CO., INC.

CRD#: 10046 / SEC#: 801-39329, 8-26313

RIA

Registered Investment Advisory firm - SEC (10/20/2020 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (10/19/2020 Approved)

Terminated by SEC on 05/28/2001

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).

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Contact information

Main Address

Brookfield, WI

Mailing Address

Phone number

(262) 352-0622

Established

Wisconsin since 02/05/1981

Firm type

Corporation

Fiscal year end

June

# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
NIEWOEHNER, WILLIAM HERBERT	DIRECTOR, PRESIDENT, SECRETARY AND TREASURER	348217

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 1,400,000

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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Firm Stability Insights

William H. Niewoehner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Herbert Niewoehner's CRS (Customer Relationship Summary).

Certified licenses

Experience

WHN INVESTOR SERVICES, INC.

THE J. F. PERRY CORPORATION

LEGG MASON WOOD WALKER, INCORPORATED

BLUNT ELLIS & LOEWI INCORPORATED

BLUNT ELLIS & SIMMONS INCORPORATED

BLYTH EASTMAN DILLON & CO. INCORPORATED

FREDERICK & COMPANY, INC.

LOEWI & CO., INCORPORATED

KIDDER, PEABODY & CO., INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 5/21/1980

Series 1

Date: 12/18/1968

Series 24

Date: 11/2/1979

Current Firm

WHN INVESTOR SERVICES, INC.

Contact information

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

WHN INVESTOR SERVICES, INC.

TRUST BUT VERIFY

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