Michael P. Rudolf

KERBERROSE WEALTH MANAGEMENT

APPLETON, WI 54913

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CRD#: 4370058

Professional summary

Michael Pruett Rudolf, AIF® is a registered financial advisor currently at KERBERROSE WEALTH MANAGEMENT, LLC located in Appleton, Wisconsin and APW CAPITAL, INC. located in Appleton, Wisconsin.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 7 firms and has passed the Series 63, Series 65, Series 52TO, SIE, Series 7, Series 53, Series 4 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.

1) KerberRose Wealth Management (RIA), as of 11/2019, Director of Retirement Plans, 40 hours per week. 2) APW Capital, Inc, Broker Dealer, Registered Rep as of 11/2019, investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Pruett Rudolf'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

November 1, 2019 - Present

KERBERROSE WEALTH MANAGEMENT, LLC

Office #1: 4211 N. Lightning Drive, Appleton, WI 54913

RIA

CRD#: 168787

APPLETON, WI

Current

January 31, 2020 - Present

APW CAPITAL, INC.

Office #1: 4211 N. Lightning Drive, Appleton, WI 54913

CRD#: 43814

Appleton, WI

Past

February 14, 2018 - January 29, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

MENASHA, WI

Past

February 14, 2018 - January 29, 2020

LPL FINANCIAL LLC

CRD#: 6413

MENASHA, WI

Past

August 1, 2016 - February 14, 2018

SII INVESTMENTS, INC.

RIA

CRD#: 2225

MENASHA, WI

Past

August 1, 2016 - February 14, 2018

SII INVESTMENTS, INC.

CRD#: 2225

MENASHA, WI

Past

June 9, 2009 - August 16, 2016

PACKERLAND BROKERAGE SERVICES, INC.

RIA

CRD#: 37031

Menasha, WI

Past

July 24, 2007 - August 16, 2016

PACKERLAND BROKERAGE SERVICES, INC.

CRD#: 37031

Menasha, WI

Past

June 4, 2003 - June 4, 2007

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

APPLETON, WI

Past

April 9, 2002 - May 9, 2003

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

May 25, 2001 - February 7, 2002

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

ST. LOUIS, MO

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".

KERBERROSE WEALTH MANAGEMENT, LLC

CRD#: 168787 / SEC#: 801-119492

RIA

Registered Investment Advisory firm - (10/26/2020 Approved)

Florida

Registered Investment Advisory firm - (10/26/2020 Terminated)

Michigan

Registered Investment Advisory firm - (10/27/2020 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/26/2020 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.

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

IAR

Wisconsin
(11/1/2019)

Wisconsin
(1/31/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/11/2001

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/5/2001

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/24/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 6/19/2006

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 3/5/2004

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/8/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

KERBERROSE WEALTH MANAGEMENT, LLC

CRD#: 168787 / SEC#: 801-119492

RIA

Registered Investment Advisory firm - (10/26/2020 Approved)

Florida

Registered Investment Advisory firm - (10/26/2020 Terminated)

Michigan

Registered Investment Advisory firm - (10/27/2020 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/26/2020 Terminated)

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Contact information

Main Address

115 E. 5th Street, Shawano, WI 54166

Mailing Address

Phone number

(715) 526-9400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KERBERROSE WEALTH MANAGEMENT PART 2A (7/31/2025)

Regulatory assets under management

Total Number of Accounts	2,911
AUM (Assets Under Management)	$ 909,761,204

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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Advisor Monitoring

Firm Stability Insights

Michael P. Rudolf

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Pruett Rudolf's CRS (Customer Relationship Summary).

Certified licenses

Experience

APW CAPITAL, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

PACKERLAND BROKERAGE SERVICES, INC.

PACKERLAND BROKERAGE SERVICES, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

SII INVESTMENTS, INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Primary Firm SEC Registration

KERBERROSE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/11/2001

Series 65

Date: 4/5/2001

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/24/2001

Series 53

Date: 6/19/2006

Series 4

Date: 3/5/2004

Series 24

Date: 6/8/2002

FINRA

Current Firm

KERBERROSE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KERBERROSE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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