Brian J. Ellenbecker

SHAKESPEARE WEALTH MANAGEMENT

Pewaukee, WI 53072

Some features on this profile are disabled

CRD#: 4210198

Professional summary

Brian John Ellenbecker, CFP®, CIMA®, CPWA® is a registered financial advisor currently at SHAKESPEARE WEALTH MANAGEMENT, LLC located in Pewaukee, Wisconsin.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Brian has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 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.

Milwaukee Tennis & Education Foundation Board Member Not Investment related Since 12/16/2022 Approx. 2 hours per month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian John Ellenbecker'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: 2005

CIMA^®

Certified Investment Management Analyst

CPWA^®

Certified Private Wealth Advisor

Start date: 2012-08-29

Expire date: 2024-11-30

Experience

Current

February 10, 2020 - Present

SHAKESPEARE WEALTH MANAGEMENT, LLC

Office #1: N22 W27847 Edgewater Drive Suite 101, Pewaukee, WI 53072

RIA

CRD#: 111950

Pewaukee, WI

Past

March 9, 2005 - February 28, 2020

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

MILWAUKEE, WI

Past

March 9, 2005 - February 28, 2020

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

December 8, 2004 - February 25, 2005

VISION INVESTMENT SERVICES, INC.

CRD#: 46609

ROSEMONT, IL

Past

September 7, 2004 - November 5, 2004

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

MADISON, WI

Past

June 16, 2004 - November 5, 2004

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

August 6, 2002 - May 26, 2004

STRONG CAPITAL MANAGEMENT INC

RIA

CRD#: 106638

MENOMONEE FALLS, WI

Past

July 28, 2000 - May 26, 2004

STRONG INVESTMENTS, INC.

CRD#: 15658

MENOMONEE FALLS, 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".

SHAKESPEARE WEALTH MANAGEMENT, LLC

SHAKESPEARE INVESTMENT COUNSELORS, INC | SHAKESPEARE WEALTH MANAGEMENT, LLC | SHAKESPEARE WEALTH MANAGEMENT, INC.

CRD#: 111950 / SEC#: 801-92171

RIA

Registered Investment Advisory firm - (4/13/2015 Approved)

Wisconsin

Registered Investment Advisory firm - (5/12/2015 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

Wisconsin
(2/10/2020)

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

IAR

Series 65

Date: 7/18/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/4/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/27/2000

General Securities Representative Examination

Current Firm

SHAKESPEARE WEALTH MANAGEMENT, LLC

SHAKESPEARE INVESTMENT COUNSELORS, INC | SHAKESPEARE WEALTH MANAGEMENT, LLC | SHAKESPEARE WEALTH MANAGEMENT, INC.

CRD#: 111950 / SEC#: 801-92171

RIA

Registered Investment Advisory firm - (4/13/2015 Approved)

Wisconsin

Registered Investment Advisory firm - (5/12/2015 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

N22 W27847 Edgewater Drive Suite 101, Pewaukee, WI 53072

Mailing Address

Phone number

(262) 814-1600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SHAKESPEARE WEALTH MANAGEMENT, LLC.® ADV 2A (3/13/2025)

Regulatory assets under management

Total Number of Accounts	1,328
AUM (Assets Under Management)	$ 512,457,248

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.

Similar Advisors

Shelly Wohler

INDEPENDENT FINANCIAL PARTNERS

IAR

Brookfield, WI

Casey Berrall

BKM WEALTH MANAGEMENT

IAR

Brookfield, WI

Carson Biber

DRAKE & ASSOCIATES, LLC

IAR

WAUKESHA, WI

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brian J. Ellenbecker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian John Ellenbecker's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

VISION INVESTMENT SERVICES, INC.

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

STRONG CAPITAL MANAGEMENT INC

STRONG INVESTMENTS, INC.

Primary Firm SEC Registration

SHAKESPEARE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/18/2002

Series 63

Date: 8/4/2000

SIE

Date: 10/1/2018

Series 7

Date: 7/27/2000

Current Firm

SHAKESPEARE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHAKESPEARE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors