PE
Peter J. Engstrom
ASSOCIATED INVESTMENT SERVICES
Mukwonago, WI 53149
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CRD#: 4332592
PE
Professional summary
Peter James Engstrom, CFP® is a registered financial advisor currently at ASSOCIATED INVESTMENT SERVICES, INC. located in Mukwonago, Wisconsin.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Peter has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.
CRS (Client Relationship Summary) - RIA
Click below to view Peter James Engstrom's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peter James Engstrom'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®
CFP®
Start date: 2007
Experience
Current
July 23, 2008 - Present
ASSOCIATED INVESTMENT SERVICES, INC.
Office #1: 707 N. Rochester, Mukwonago, WI 53149RIA
BD
CRD#: 1464
Mukwonago, WI
Current
July 23, 2008 - Present
ASSOCIATED INVESTMENT SERVICES, INC.
Office #1: 707 N. Rochester, Mukwonago, WI 53149RIA
BD
CRD#: 1464
Mukwonago, WI
Past
July 10, 2006 - July 9, 2008
ALLSPRING FUNDS MANAGEMENT, LLC
RIA
CRD#: 110841
MENOMONEE FALLS, WI
Past
June 13, 2006 - July 9, 2008
ALLSPRING FUNDS DISTRIBUTOR, LLC
BD
CRD#: 133366
MENOMONEE FALLS, WI
Past
January 10, 2006 - May 23, 2006
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
WAUWATOSA, WI
Past
May 17, 2005 - December 31, 2005
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
March 13, 2001 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
March 13, 2001 - August 4, 2003
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, 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".
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
California(2/28/2012)
RR
Florida(10/19/2015)
RR
Illinois(7/23/2008)
IAR
Illinois(1/31/2014)
RR
South Carolina(10/28/2025)
RR
Texas(2/9/2017)
RR
Wisconsin(7/23/2008)
IAR
Wisconsin(7/23/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
ASSOCIATED INVESTMENT SERVICES, INC.
CRD#: 1464Mukwonago, WI 53149TRUST BUT VERIFY
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