Brian A. Shank

LSIA

Milwaukee, WI 53202

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CRD#: 6866884

Professional summary

Brian Andrew Shank, who also goes by Brian A Shank, is a registered financial advisor currently at LSIA located in Milwaukee, Wisconsin.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Brian has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian A Shank

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Andrew Shank'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

October 3, 2021 - Present

LSIA

Office #1: 839 N. Jefferson Street Suite 504, Milwaukee, WI 53202Office #2: 111 E Kilbourn Ave Ste 2400, Milwaukee, WI 53202

RIA

CRD#: 146829

Milwaukee, WI

Past

May 1, 2019 - November 4, 2020

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

MILWAUKEE, WI

Past

May 1, 2019 - November 4, 2020

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

May 31, 2018 - December 31, 2019

USA MUTUALS ADVISORS, INC.

RIA

CRD#: 131750

Milwaukee, WI

Past

May 11, 2018 - January 15, 2019

COMPASS DISTRIBUTORS, LLC

CRD#: 172662

PORTLAND, ME

Past

March 9, 2018 - April 19, 2018

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, 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".

LSIA

LS INVESTMENT ADVISORS, LLC | LSIA WEALTH & INSTITUTIONAL | LSIA WEALTH | LSIA INSTITUTIONAL | LSIA

CRD#: 146829 / SEC#: 801-69340

RIA

Registered Investment Advisory firm - (7/11/2008 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

Texas
(11/15/2024)

IAR

Wisconsin
(10/3/2021)

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: 5/31/2018

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: 3/9/2018

General Securities Representative Examination

Current Firm

LSIA

LS INVESTMENT ADVISORS, LLC | LSIA WEALTH & INSTITUTIONAL | LSIA WEALTH | LSIA INSTITUTIONAL | LSIA

CRD#: 146829 / SEC#: 801-69340

RIA

Registered Investment Advisory firm - (7/11/2008 Approved)

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Contact information

Main Address

39533 Woodward Avenue Suite 307, Bloomfield Hills, MI 48304-5106

Mailing Address

Phone number

(414) 459-1759

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A BROCHURE (3/17/2025)

Regulatory assets under management

Total Number of Accounts	410
AUM (Assets Under Management)	$ 916,009,663

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

Brian A. Shank

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Andrew Shank's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

USA MUTUALS ADVISORS, INC.

COMPASS DISTRIBUTORS, LLC

ROBERT W. BAIRD & CO. INCORPORATED

Primary Firm SEC Registration

LSIA

State Registrations and Notice Filings

Exams

Series 66

Date: 5/31/2018

SIE

Date: 10/1/2018

Series 7

Date: 3/9/2018

Current Firm

LSIA

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LSIA

TRUST BUT VERIFY

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