CM
Colin P. Mcwey
HEARTLAND ADVISORS
Milwaukee, WI 53202
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CRD#: 4205434
CM
Professional summary
Colin Patrick Mcwey, who also goes by Colin P Mcwey, is a registered financial advisor currently at HEARTLAND ADVISORS, INC. located in Milwaukee, Wisconsin and ALPS DISTRIBUTORS, INC. located in Milwaukee, Wisconsin.
Colin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Colin has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Colin P Mcwey
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.
1. Heartland Advisors. Investment related. 790 Water St, Ste 1200, Milwaukee, WI 53202, Investment Advisor, Portfolio Manager, start 06/2009, 176 hrs/mo, 132 hrs/mo, Investment management. 2. ALPS DISTRIBUTORS, INC. 1290 BROADWAY, SUITE 1000, DENVER, CO 80203 BUSINESS IS INVESTMENT RELATED - BD, REGISTERED REPRESENTATIVE, 160 HOURS/MONTH, 130 HOUR/MONTH DURING TRADING HOURS 3. United Way of Greater Milwaukee & Waukesha County, not investment related, 225 West Vine St Milwaukee, WI 53212, Investment committee member, 5 hrs/mo, 2 hrs/mo, investment oversight reports to board of directors.
CRS (Client Relationship Summary) - RIA
Click below to view Colin Patrick Mcwey'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 18, 2013 - Present
HEARTLAND ADVISORS, INC.
Office #1: 790 N Water Street Suite 1200, Milwaukee, WI 53202RIA
CRD#: 29433
Milwaukee, WI
Current
July 8, 2009 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 790 Water Street Suite 1200, Milwaukee, WI 53202BD
CRD#: 16853
Milwaukee, WI
Past
November 11, 2004 - June 2, 2009
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
July 7, 2004 - July 28, 2004
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
November 13, 2001 - July 25, 2003
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, 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".
HA
HEARTLAND ADVISORS, INC.
HEARTLAND ADVISORS, INC.
CRD#: 29433 / SEC#: 801-19074, 8-44310
RIA
Registered Investment Advisory firm - SEC (6/23/1983 Approved)BD
Terminated by SEC on 12/09/2003
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
Alabama(7/8/2009)
RR
Alaska(7/8/2009)
RR
Arizona(7/8/2009)
RR
Arkansas(7/8/2009)
RR
California(7/8/2009)
RR
Colorado(7/8/2009)
RR
Connecticut(7/8/2009)
RR
Delaware(7/8/2009)
RR
District of Columbia(7/8/2009)
RR
Florida(7/8/2009)
RR
Georgia(7/8/2009)
RR
Hawaii(7/8/2009)
RR
Idaho(7/8/2009)
RR
Illinois(7/8/2009)
RR
Indiana(7/8/2009)
RR
Iowa(7/8/2009)
RR
Kansas(7/8/2009)
RR
Kentucky(7/8/2009)
RR
Louisiana(7/8/2009)
RR
Maine(7/8/2009)
RR
Maryland(7/8/2009)
RR
Massachusetts(7/8/2009)
RR
Michigan(7/8/2009)
RR
Minnesota(7/8/2009)
RR
Mississippi(7/8/2009)
RR
Missouri(7/8/2009)
RR
Montana(7/8/2009)
RR
Nebraska(7/8/2009)
RR
Nevada(7/8/2009)
RR
New Hampshire(7/8/2009)
RR
New Jersey(7/8/2009)
RR
New Mexico(7/8/2009)
RR
New York(7/8/2009)
RR
North Carolina(7/8/2009)
RR
North Dakota(7/8/2009)
RR
Ohio(7/9/2009)
RR
Oklahoma(7/8/2009)
RR
Oregon(7/8/2009)
RR
Pennsylvania(7/8/2009)
RR
Rhode Island(7/8/2009)
RR
South Carolina(7/8/2009)
RR
South Dakota(7/8/2009)
RR
Tennessee(7/8/2009)
RR
Texas(7/8/2009)
RR
Utah(7/8/2009)
RR
Vermont(7/8/2009)
RR
Virginia(7/8/2009)
RR
Washington(7/8/2009)
RR
West Virginia(7/8/2009)
RR
Wisconsin(7/8/2009)
IAR
Wisconsin(10/18/2013)
RR
Wyoming(7/8/2009)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HA
HEARTLAND ADVISORS, INC.
HEARTLAND ADVISORS, INC.
CRD#: 29433 / SEC#: 801-19074, 8-44310
RIA
Registered Investment Advisory firm - SEC (6/23/1983 Approved)BD
Terminated by SEC on 12/09/2003
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Contact information
Main Address
790 N Water Street Suite 1200, Milwaukee, WI 53202
Mailing Address
Phone number
(414) 347-7777
Established
Wisconsin since 03/03/1953
Firm type
Corporation
Fiscal year end
December
# of Employees
26
SEC notice filing (17 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 92 |
| AUM (Assets Under Management) | $ 1,885,901,565 |
Disclosures
| Regulatory Event | 3 |
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
HEARTLAND ADVISORS, INC.
CRD#: 29433Milwaukee, WI 53202TRUST BUT VERIFY
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