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PB

Paul Braatz

WEA INVESTMENT SERVICES
Madison, WI 53713
Some features on this profile are disabled
CRD#: 7829769
PB

Professional summary

Paul Braatz is a registered financial professional currently at WEA INVESTMENT SERVICES, INC. located in Madison, Wisconsin.

Paul is registered as a RR (Registered Representative) and started their career in finance in 2024. Paul has worked at 1 firm and has passed the Series 63, Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Paul Braatz'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

March 19, 2024 - Present

WEA INVESTMENT SERVICES, INC.

Office #1: 660 John Nolen Drive, Madison, WI 53713
BD
CRD#: 126907
Madison, WI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Wisconsin
(4/1/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/30/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 3/19/2024
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/15/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

WI
WEA INVESTMENT SERVICES, INC.
WEA INVESTMENT SERVICES, INC.

CRD#: 126907 / SEC#: , 8-65926

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

Main Address
660 John Nolen Drive, Madison, WI 53713-3959
Mailing Address
Po Box 7893, Madison, WI 53707
Phone number
(800) 279-4030
Established
Wisconsin since 04/10/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (14 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WEA MEMBER BENEFIT TRUSTSHAREHOLDER
BENDER, BOYD GRISWOLDCCO3082505
BENDER, BOYD GRISWOLDPRESIDENT3082505
BROWN, SUZANNE LEETRUSTEE/DIRECTOR
DIGMAN, CAROLYN KAYFINOP7125836
LOR, MAIWATRUSTEE/DIRECTOR7786308
MAHONEY, KATHLEEN TRUDEAUTRUSTEE/DIRECTOR8120398
MARTINEZ, JESSE ANDREWTRUSTEE/DIRECTOR7977660
OLSEN-WIRTZ, PEGGY LYNNTRUSTEE/DIRECTOR7641439
UGORETZ, NATHAN LAKETRUSTEE/DIRECTOR7641425
WILCOX, THOMAS JON JRTRUSTEE/DIRECTOR7977638

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.

Company Information

WEA INVESTMENT SERVICES, INC.

CRD#: 126907Madison, WI 53713

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