WL
Wendi A. Lucarelli
ASSOCIATED INVESTMENT SERVICES
Sheboygan, WI 53081
Some features on this profile are disabled
CRD#: 4772555
WL
Professional summary
Wendi A Lucarelli, who also goes by Wendi A Barinotti, Wendi Barinotti Szprejda, is a registered financial advisor currently at ASSOCIATED INVESTMENT SERVICES, INC. located in Sheboygan, Wisconsin.
Wendi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Wendi has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Wendi A Barinotti | Wendi Barinotti Szprejda
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) TORK PROPERTIES, N7532 BITTERSWEET RD., PLYMOUTH, WI 53073; IS INVESTMENT-RELATED; REAL ESTATE/RENTAL PROPERTY; STARTED 05/01/2006; 2 HOURS PER MONTH, NONE DURING TRADING HOURS; COLLECT RENT, PROPERTY MANAGEMENT. 2) PLYMOUTH FIREWORKS, N7532 BITTERSWEET RD., PLYMOUTH, WI 53073; FIREWORKS SALES; NOT INVESTMENT RELATED; OWNER; STARTED 5/1/14; 3 HOURS PER MONTH, NONE DURING TRADING HOURS; HUSBAND'S BUSINESS, LISTED AS OWNER & HELP WITH SELECTION/ORDERING OF FIREWORKS & ASSIST AS NEEDED.
CRS (Client Relationship Summary) - RIA
Click below to view Wendi A Lucarelli's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Wendi A Lucarelli'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
November 16, 2010 - Present
ASSOCIATED INVESTMENT SERVICES, INC.
Office #1: 1217 N. Taylor Drive, Sheboygan, WI 53081RIA
BD
CRD#: 1464
Sheboygan, WI
Current
November 4, 2010 - Present
ASSOCIATED INVESTMENT SERVICES, INC.
Office #1: 1217 N. Taylor Drive, Sheboygan, WI 53081RIA
BD
CRD#: 1464
Sheboygan, WI
Past
December 23, 2009 - November 10, 2010
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
PLYMOUTH, WI
Past
December 23, 2009 - November 10, 2010
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
PLYMOUTH, WI
Past
February 27, 2008 - March 3, 2008
GEORGE V. REIS INVESTMENT GROUP, INC.
RIA
CRD#: 138977
TWO RIVERS, WI
Past
March 1, 2007 - December 31, 2009
PACKERLAND BROKERAGE SERVICES, INC.
BD
CRD#: 37031
PLYMOUTH, WI
Past
October 13, 2006 - February 28, 2007
AFS BROKERAGE, INC.
BD
CRD#: 25924
AUSTIN, TX
Past
June 15, 2004 - September 25, 2006
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
SHEBOYGAN, WI
Past
May 6, 2004 - September 25, 2006
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SHEBOYGAN, 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
Arizona(8/26/2016)
IAR
Arizona(6/21/2017)
RR
Florida(9/5/2019)
IAR
Florida(9/6/2019)
IAR
Michigan(1/10/2019)
RR
Michigan(5/23/2022)
IAR
Minnesota(3/16/2023)
RR
Virginia(1/17/2025)
RR
Wisconsin(11/4/2010)
IAR
Wisconsin(11/16/2010)
Exams
State Security Law 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.
