Andrew S. Polzin

BEHL WEALTH MANAGEMENT

Delafield, WI 53018

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CRD#: 7601025

Professional summary

Andrew Scott Polzin is a registered financial advisor currently at BEHL WEALTH MANAGEMENT located in Delafield, Wisconsin.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Andrew has worked at 1 firm and has passed the Series 65 exam.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Scott Polzin'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®

None

Experience

Current

February 17, 2023 - Present

BEHL WEALTH MANAGEMENT

Office #1: 524 Milwaukee St Suite 325, Delafield, WI 53018

RIA

CRD#: 300281

Delafield, WI

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
(2/17/2023)

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 65

Date: 2/17/2023

Uniform Investment Adviser Law Examination

Current Firm

BEHL WEALTH MANAGEMENT

BEHL WEALTH MANAGEMENT | BEHL WEALTH MANAGEMENT, LLC

CRD#: 300281 / SEC#:

Illinois

Registered Investment Advisory firm - (7/29/2019 Terminated)

Wisconsin

Registered Investment Advisory firm - (7/17/2019 Approved)

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).

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Contact information

Main Address

524 Milwaukee St Suite 325, Delafield, WI 53018

Mailing Address

Phone number

(262) 275-4025

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	199
AUM (Assets Under Management)	$ 40,188,080

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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Andrew S. Polzin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Scott Polzin's CRS (Customer Relationship Summary).

Certified licenses

Experience

BEHL WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 2/17/2023

Current Firm

BEHL WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BEHL WEALTH MANAGEMENT

TRUST BUT VERIFY

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