Nathan D. Schleicher

ASC 401(K) MANAGEMENT

Appleton, WI 54913

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CRD#: 4534784

Professional summary

Nathan Daniel Schleicher is a registered financial advisor currently at ASC 401(K) MANAGEMENT located in Appleton, Wisconsin.

Nathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Nathan has worked at 6 firms and has passed the Series 63 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nathan Daniel Schleicher'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

September 3, 2021 - Present

ASC 401(K) MANAGEMENT

Office #1: 5583 Waterford Lane, Suite A, Appleton, WI 54913Office #2: 4321 W. College Ave Suite 200, Appleton, WI 54914

RIA

CRD#: 220516

Appleton, WI

Past

May 1, 2015 - August 25, 2021

ASC 401(K) MANAGEMENT

RIA

CRD#: 220516

APPLETON, WI

Past

April 3, 2009 - June 3, 2015

MCGLONE SUTTNER WEALTH MANAGEMENT, INC.

RIA

CRD#: 149830

APPLETON, WI

Past

April 3, 2009 - July 1, 2010

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

APPLETON, WI

Past

October 10, 2005 - April 7, 2009

SII INVESTMENTS, INC.

RIA

CRD#: 2225

APPLETON, WI

Past

October 10, 2005 - April 7, 2009

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

February 22, 2005 - July 25, 2005

FORTA FINANCIAL GROUP, INC.

CRD#: 28784

AUSTIN, TX

Past

July 1, 2003 - February 16, 2005

PACKERLAND BROKERAGE SERVICES, INC.

CRD#: 37031

GREEN BAY, WI

Past

August 8, 2002 - July 1, 2003

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

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

Texas
(3/1/2023)

IAR

Wisconsin
(9/3/2021)

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: 8/21/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/7/2002

General Securities Representative Examination

Current Firm

ASC 401(K) MANAGEMENT

ASC 401(K) MANAGEMENT | ASC WEALTH & RETIREMENT ADVISORS LLC | ASC 401(K) MANAGEMENT;

CRD#: 220516 / SEC#: 801-96217

RIA

Registered Investment Advisory firm - (9/14/2021 Terminated)

Texas

Registered Investment Advisory firm - (8/30/2021 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (9/3/2021 Approved)

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

4321 W. College Ave Suite 200, Appleton, WI 54914

Mailing Address

Phone number

(920) 888-1272

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	176
AUM (Assets Under Management)	$ 28,227,253

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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Nathan D. Schleicher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nathan Daniel Schleicher's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASC 401(K) MANAGEMENT

ASC 401(K) MANAGEMENT

MCGLONE SUTTNER WEALTH MANAGEMENT, INC.

PURSHE KAPLAN STERLING INVESTMENTS

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

FORTA FINANCIAL GROUP, INC.

PACKERLAND BROKERAGE SERVICES, INC.

SII INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/21/2002

Series 7

Date: 8/7/2002

Current Firm

ASC 401(K) MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ASC 401(K) MANAGEMENT

TRUST BUT VERIFY

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