DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

YVETTE RENEE FERRIS

Advisor at TRUSTAGE INVESTMENT MANAGEMENT

MADISON, WI | Monona, WI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d3f37bae-d343-3670-e21c-daf296069573

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Oct 15, 2013 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: TRUSTAGE INVESTMENT MANAGEMENT
Current firm class: institutional managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 2, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Apr 2, 2008
First registration: Oct 15, 2013
Dual registered: yes, broker-dealer
Other names: YVETTE R FERRIS
IAPD individual key: 5500778

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
TRUSTAGE INVESTMENT MANAGEMENT	Institutional manager	Apr 25, 2023	n/a	yes	MADISON, WI\|Monona, WI	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	May 18, 2022	Apr 25, 2023	no	MONONA, WI	Previous registration
CUNA BROKERAGE SERVICES, INC.	Former SEC adviser	Oct 4, 2017	May 18, 2022	no	MADISON, WI\|Madison, WI\|Monona, WI	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Feb 11, 2016	Mar 28, 2017	no	WILMINGTON, NC	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jul 15, 2014	Jun 30, 2015	no	MIDDLETON, WI	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Oct 15, 2013	Jul 14, 2014	no	GREENVILLE, SC\|MOORE, SC\|GREENVILLE, SC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	TRUSTAGE INVESTMENT MANAGEMENT	Apr 25, 2023	Apr 25, 2023	0	Firm change	Other
CUNA BROKERAGE SERVICES, INC.	LPL FINANCIAL LLC	May 18, 2022	May 18, 2022	0	Bulk transfer	Ibd to RIA
PNC WEALTH MANAGEMENT	CUNA BROKERAGE SERVICES, INC.	Mar 28, 2017	Oct 4, 2017	190	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	PNC WEALTH MANAGEMENT	Jun 30, 2015	Feb 11, 2016	226	Firm change	Other
WELLS FARGO ADVISORS	AMERIPRISE FINANCIAL SERVICES, LLC	Jul 14, 2014	Jul 15, 2014	1	Firm change	Wirehouse to ibd

Relationships

Registered with (6)

→ TRUSTAGE INVESTMENT MANAGEMENTRegistered adviserregistration: current employment
Apr 25, 2023 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
May 18, 2022 to Apr 25, 2023factForm ADV
→ CUNA BROKERAGE SERVICES, INC.Registered adviserregistration: previous registration
Oct 4, 2017 to May 18, 2022factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Feb 11, 2016 to Mar 28, 2017factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jul 15, 2014 to Jun 30, 2015factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 15, 2013 to Jul 14, 2014factForm ADV

Dated events

Occurred
Apr 25, 2023
Advisor changed firm
Yvette Renee Ferris left Lpl Financial Llc for Trustage Investment Management (registered 2023-04-25)
Form ADVobserved 5 days ago