Charles S. Claussen

ANNEX WEALTH MANAGEMENT

Brookfield, WI 53045

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CRD#: 6420029

Professional summary

Charles Sebastian Claussen, who also goes by Charles Claussen, Chase Claussen, is a registered financial advisor currently at ANNEX WEALTH MANAGEMENT, LLC located in Brookfield, Wisconsin.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Charles has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles Claussen | Chase Claussen

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.

Rental Property Owner. Mr. Claussen spends approximately 5 hours a month during non-business hours, maintaining the property. THE LUPUS FOUNDATION-NOT INVESTMENT RELATED. 2600 N MAYFAIR RD. MILWAUKEE, WI 53226. START DATE 8/15/18. TREASURER - 4 HOURS PER MONTH, 2 DURING SECURITIES TRADING HOURS. REVIEW FINANCIAL TRANSACTIONS FOR ACCURACY. NO ACCESS TO FUNDS. ATTENDS BOARD MEETINGS, ETC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Sebastian Claussen's CRS (Customer Relationship Summary).

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

January 27, 2025 - Present

ANNEX WEALTH MANAGEMENT, LLC

Office #1: 17950 W. Corporate Drive Suite 300, Brookfield, WI 53045

RIA

CRD#: 127987

Brookfield, WI

Past

September 10, 2024 - January 28, 2025

TRANSCEND ADVISOR GROUP, LLC

RIA

CRD#: 866

WAUKESHA, 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".

ANNEX WEALTH MANAGEMENT, LLC

ANNEX ADVISORY SERVICES, LLC | SAVVY - POWERED BY ANNEX WEALTH MANAGEMENT | SAVVY | ANNEX WEALTH MANAGEMENT, LLC | ANNEX IGNITE

CRD#: 127987 / SEC#: 801-63505

RIA

Registered Investment Advisory firm - (9/24/2004 Approved)

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

Wisconsin
(1/27/2025)

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

IAR

Series 66

Date: 7/2/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/9/2015

General Securities Representative Examination

Current Firm

ANNEX WEALTH MANAGEMENT, LLC

ANNEX ADVISORY SERVICES, LLC | SAVVY - POWERED BY ANNEX WEALTH MANAGEMENT | SAVVY | ANNEX WEALTH MANAGEMENT, LLC | ANNEX IGNITE

CRD#: 127987 / SEC#: 801-63505

RIA

Registered Investment Advisory firm - (9/24/2004 Approved)

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Contact information

Main Address

17950 W. Corporate Drive Suite 300, Brookfield, WI 53045

Mailing Address

Phone number

(262) 786-6363

Established

Firm type

Fiscal year end

# of Employees

144

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2 07022025 (7/3/2025)

Regulatory assets under management

Total Number of Accounts	19,997
AUM (Assets Under Management)	$ 6,945,737,689

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/11/2025	Cover Page	Report
05/22/2024	Cover Page	Report
12/18/2023	Cover Page	Report
03/16/2023	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Charles S. Claussen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Sebastian Claussen's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSCEND ADVISOR GROUP, LLC

CLIFTONLARSONALLEN WEALTH ADVISORS, LLC

CLIFTONLARSONALLEN WEALTH ADVISORS, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

HIGHTOWER ADVISORS, LLC

HIGHTOWER SECURITIES, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

WADDELL & REED

WADDELL & REED

Primary Firm SEC Registration

ANNEX WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/2/2015

SIE

Date: 10/1/2018

Series 7

Date: 3/9/2015

Current Firm

ANNEX WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ANNEX WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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