SC
Suanne M. Cain
PACKERLAND BROKERAGE SERVICES
Oconto, WI 54153
Some features on this profile are disabled
CRD#: 4870486
SC
Professional summary
Suanne Marie Cain, who also goes by Suzie Laviolette, Suzie Lemay, is a registered financial advisor currently at PACKERLAND BROKERAGE SERVICES, INC. located in Oconto, Wisconsin.
Suanne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Suanne has worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Suzie Laviolette | Suzie Lemay
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.
CAIN ACCOUNTING LLC, 200 BRAZEAU AVE, OCONTO WI 54153. CPA/OWNER.NON-INVESTMENT RELATED, ACCOUNTING/TAX - STARTED 9/2000 - 100% TIME DEVOTED. INS. SALES, SAME ADDRESS AS ABOVE, APPT. W/ VARIOUS CO'S. PRODUCTS: LIFE. NON-SECURITIES RELATED. START DATE 11/2005, TIME DEVOTED 5 HRS A YEAR. OTHER PRODUCTS: FIXED ANNUITIES. CAIN'S CUTTING EDGE LLC, 3038 NUTHATCH LN, OCONTO. TIME DEVOTED: HALF HOUR A WEEK. DUTIES: SHAREHOLDER/ACCOUNTANT. START DATE: 10/1/2013 Oconto County Historical Society Treasurer. I deposit money, sign checks and provide, monthly financial statements to the board. Most of the cash management is handled by my staff at Cain Accounting, so I only spend about 1 hour a month doing my duties. This is a non-profit organization. Non-investment related. Oconto Area Chamber of Commerce Treasurer of the Chamber-I write checks, sometimes deposit money (not often as the President does this most of the time), provide monthly financial statements to our board. I spend 2 hours a month. This is a non-profit organization. Non-investment related DePere Business Center 115 S Broadway DePere WI, 54115 Tax Preparer, 2/7/2024 start date, February 5 days, March 5 days, April 1 day. Non-investment related Ducks Unlimited of Oconto County Treasurer - Collect money, Write Checks, Reconcile Checkbook & Keep track of Books, Start 1/15/2025, Using my address as we don't have a set building, www.ducksunlimited.com, Most of the hours are in the fall for our banquets so approximately 25 hours annually, 0% Ownership interest. Non-Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Suanne Marie Cain's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Suanne Marie Cain'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
October 5, 2011 - Present
PACKERLAND BROKERAGE SERVICES, INC.
Office #1: 245 Cook Ave, Oconto, WI 54153Office #2: 115 S. Broadway, Depere, WI 54115RIA
BD
CRD#: 37031
Oconto, WI
Current
December 3, 2004 - Present
PACKERLAND BROKERAGE SERVICES, INC.
Office #1: 245 Cook Ave, Oconto, WI 54153Office #2: 115 S. Broadway, Depere, WI 54115RIA
BD
CRD#: 37031
Oconto, 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".
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 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(6/30/2021)
IAR
Arizona(6/30/2021)
RR
Kentucky(6/30/2021)
RR
Michigan(6/30/2021)
IAR
Michigan(6/30/2021)
RR
Missouri(3/17/2022)
IAR
Missouri(3/17/2022)
RR
New Mexico(7/1/2021)
RR
New York(6/30/2021)
RR
Texas(7/1/2021)
RR
Wisconsin(12/3/2004)
IAR
Wisconsin(10/5/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PB
PACKERLAND BROKERAGE SERVICES, INC.
PACKERLAND BROKERAGE SERVICES, INC.
CRD#: 37031 / SEC#: 801-74927, 8-47572
RIA
Registered Investment Advisory firm - SEC (5/1/2012 Approved)Arizona
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Arkansas
Registered Investment Advisory firm - SEC (2/27/2009 Terminated)California
Registered Investment Advisory firm - SEC (5/22/2012 Terminated)Florida
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/1/2012 Terminated)Indiana
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Iowa
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Kansas
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Minnesota
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Montana
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)New Jersey
Registered Investment Advisory firm - SEC (9/27/2012 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/10/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/14/2012 Terminated)Tennessee
Registered Investment Advisory firm - SEC (5/31/2012 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/9/2012 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
432 Security Blvd. Ste. 101, Green Bay, WI 54313-9709
Mailing Address
432 Security Blvd., Green Bay, WI 54313
Phone number
(920) 662-9500
Established
Wisconsin since 07/11/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
286
SEC notice filing (47 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KELLY, ZACHARY P | DIRECTOR, SHAREHOLDER, CEO, BOARD PRESIDENT & SECRETARY | 5263665 |
| VAN ESS, WILLIAM SCOTT | DIRECTOR, SHAREHOLDER, CHAIRMAN OF THE BOARD | 1929840 |
| WESTENBERG, STEVEN G | DIRECTOR, SHAREHOLDER, VICE CHAIRMAN , TREASURER | 2440924 |
| BOSTWICK, KAREN P | SHAREHOLDER | 2643853 |
| DOELGER, AARON ANDREW | SHAREHOLDER, CHIEF COMPLIANCE OFFICER | 4357639 |
Regulatory assets under management
| Total Number of Accounts | 4,245 |
| AUM (Assets Under Management) | $ 909,478,703 |
Disclosures
| Regulatory Event | 2 |
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.
