Marlo J. Testwuide
H. C. DENISON CO.
Sheboygan, WI 53081
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CRD#: 6403174
Professional summary
Marlo Jean Testwuide, CFP® is a registered financial advisor currently at H. C. DENISON CO. located in Sheboygan, Wisconsin.
Marlo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Marlo has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 52, Series 7, Series 53, Series 24 and Series 27 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.
Marlo Jean Testwuide is a registered representative of H.C. Denison Co. and from time to time, will offer clients advice or products from those activities. As a registered representative of H.C. Denison Co., Marlo Jean Testwuide accepts compensation for the sale of securities. Marlo Jean Testwuide is an independent licensed insurance agent. This position pays a commission. Marlo Jean Testwuide serves as the Treasurer of the Business Improvement District: Harbor Centre. I receive no compensation for this position and there are not investment related decisions that are made. The BID grants funds to businesses for example: to support fa�ade improvements, sponsor downtown events, and we also help fund the Summer and Christmas decorations of the downtown.
CRS (Client Relationship Summary) - RIA
Click below to view Marlo Jean Testwuide's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marlo Jean Testwuide'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®
Start date: 2018
Experience
Current
April 25, 2022 - Present
H. C. DENISON CO.
Office #1: 618 North 7th Street, Sheboygan, WI 53081RIA
BD
CRD#: 1628
Sheboygan, WI
Current
December 22, 2014 - Present
H. C. DENISON CO.
Office #1: 618 North 7th Street, Sheboygan, WI 53081RIA
BD
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.
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)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
California(3/16/2015)
RR
Colorado(3/16/2015)
RR
Florida(3/16/2015)
RR
Illinois(3/16/2015)
RR
Wisconsin(1/30/2015)
IAR
Wisconsin(4/25/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
H. C. DENISON CO.
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)BD
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
4
SEC notice filing (1 States and Territories)
FINRA licenses (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 541 |
| AUM (Assets Under Management) | $ 177,342,193 |
Disclosures
| Regulatory Event | 3 |
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.
