Joy M. Heinen

H. C. DENISON CO.

Sheboygan, WI 53081

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CRD#: 5137659

Professional summary

Joy Marie Heinen, CFP®, who also goes by Joy M Heinen, Joy M Stroessner, is a registered financial advisor currently at H. C. DENISON CO. located in Sheboygan, Wisconsin.

Joy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Joy has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joy M Heinen | Joy M Stroessner

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.

Currently employed as a registered representative of H.C. Denison Co. Will be dually registered as a IAR

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joy Marie Heinen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Joy Marie Heinen'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^®

Certified Financial Planner

Start date: 2015

Experience

Current

April 25, 2022 - Present

H. C. DENISON CO.

Office #1: 618 North 7th Street, Sheboygan, WI 53081

RIA

CRD#: 1628

Sheboygan, WI

Current

September 7, 2007 - Present

H. C. DENISON CO.

Office #1: 618 North 7th Street, Sheboygan, WI 53081

RIA

CRD#: 1628

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".

H. C. DENISON CO.

CRD#: 1628 / SEC#: 801-131334, 8-44

RIA

Registered Investment Advisory firm - SEC (10/23/2024 Approved)

Wisconsin

Registered Investment Advisory firm - SEC (11/27/2024 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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

Alaska
(1/11/2013)

Arizona
(3/1/2010)

California
(4/19/2010)

Colorado
(8/20/2012)

Connecticut
(3/5/2019)

Florida
(8/20/2012)

Georgia
(1/2/2013)

Illinois
(8/20/2012)

Indiana
(8/20/2012)

Kansas
(8/20/2012)

Kentucky
(8/20/2012)

Louisiana
(8/20/2012)

Maine
(2/13/2023)

Maryland
(8/20/2012)

Michigan
(8/20/2012)

Minnesota
(3/22/2010)

Missouri
(8/20/2012)

Nevada
(8/20/2012)

New Jersey
(3/28/2023)

New Mexico
(12/4/2018)

New York
(8/20/2012)

North Carolina
(8/20/2012)

Ohio
(4/17/2017)

Pennsylvania
(2/21/2023)

Tennessee
(4/10/2017)

Texas
(8/20/2012)

Utah
(6/11/2013)

Virginia
(8/20/2012)

Washington
(9/28/2016)

Wisconsin
(11/27/2007)

IAR

Wisconsin
(4/25/2022)

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: 11/26/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/6/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

H. C. DENISON CO.

CRD#: 1628 / SEC#: 801-131334, 8-44

RIA

Registered Investment Advisory firm - SEC (10/23/2024 Approved)

Wisconsin

Registered Investment Advisory firm - SEC (11/27/2024 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

618 North 7th Street, Sheboygan, WI 53081

Mailing Address

P.o. Box 28, Sheboygan, WI 53082-0028

Phone number

(920) 457-9451

Established

Wisconsin since 08/30/1949

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

SEC notice filing (1 States and Territories)

FINRA licenses (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Part 2 Brochures

ADV PART 2A- H. C. DENISON CO. (3/14/2025)

ADV PART 2B- KUEHL (3/14/2025)

ADV PART 2B- HEINEN (3/14/2025)

ADV PART 2B- TESTWUIDE, MARLO (3/14/2025)

ADV PART 2B- TESTWUIDE, JAMES ANTHONY (3/14/2025)

Direct owners and executive officers

Name	Position	CRD#
TESTWUIDE, JAMES ANTHONY	CEO, PRES, & TREASURER & SHAREHOLDER	1248919
KUEHL, ROBERT JOSEPH	VICE-PRESIDENT	2221683
TESTWUIDE, MARLO JEAN	CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT OF OPERATIONS	6403174

Regulatory assets under management

Total Number of Accounts	541
AUM (Assets Under Management)	$ 177,342,193

Disclosures

Regulatory Event

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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Firm Stability Insights

Joy M. Heinen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joy Marie Heinen's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Joy Marie Heinen's CRS (Customer Relationship Summary).

Certified licenses

Experience

H. C. DENISON CO.

Primary Firm SEC Registration

H. C. DENISON CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/26/2007

SIE

Date: 10/1/2018

Series 7

Date: 9/6/2007

FINRA

Current Firm

H. C. DENISON CO.

Contact information

SEC notice filing (1 States and Territories)

FINRA licenses (35 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

H. C. DENISON CO.

TRUST BUT VERIFY

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