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Advisor at SUGAR MAPLE ASSET MANAGEMENT, LLC
SISTER BAY, WI
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| SUGAR MAPLE ASSET MANAGEMENT, LLC | Independent wealth | May 5, 2021 | n/a | yes | SISTER BAY, WI | Current employment |
| CETERA INVESTMENT ADVISERS LLC | Bd affiliated wealth | Nov 21, 2018 | Apr 30, 2021 | no | GREENBAY, WI|GREENBAY, WI | Previous registration |
| NICOLET WEALTH MANAGEMENT | Independent wealth | Sep 24, 2018 | Nov 19, 2018 | no | GREEN BAY, WI | Previous registration |
| SII INVESTMENTS, INC. | Former SEC adviser | Jun 3, 2016 | Dec 31, 2017 | no | GREEN BAY, WI | Previous registration |
| ADMIRAL ASSET MANAGEMENT, LLC | n/a | Dec 1, 2014 | Sep 26, 2016 | no | Green Bay, WI|STURGEON BAY, WI | Previous registration |
| LPL FINANCIAL LLC | Bd affiliated wealth | Jun 11, 2014 | Jun 15, 2016 | no | GREEN BAY, WI|STURGEON BAY, WI | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| CETERA INVESTMENT ADVISERS LLC | SUGAR MAPLE ASSET MANAGEMENT, LLC | Apr 30, 2021 | May 5, 2021 | 5 | Firm change | Ibd to RIA |
| NICOLET WEALTH MANAGEMENT | CETERA INVESTMENT ADVISERS LLC | Nov 19, 2018 | Nov 21, 2018 | 2 | Firm change | RIA to ibd |
| SII INVESTMENTS, INC. | NICOLET WEALTH MANAGEMENT | Dec 31, 2017 | Sep 24, 2018 | 267 | Firm change | Ibd to RIA |
| ADMIRAL ASSET MANAGEMENT, LLC | SII INVESTMENTS, INC. | Sep 26, 2016 | Jun 3, 2016 | -115 | Firm change after gap | Other |
| LPL FINANCIAL LLC | ADMIRAL ASSET MANAGEMENT, LLC | Jun 15, 2016 | Dec 1, 2014 | -562 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 2225:283940:WI:2017-12-31 | Dec 31, 2017 | Sep 24, 2018 | GREEN BAY, WI | Firm change |
| 163093:2225:WI:2016-09-26 | Sep 26, 2016 | Jun 3, 2016 | STURGEON BAY, WI | Firm change after gap |
| 6413:163093:WI:2016-06-15 | Jun 15, 2016 | Dec 1, 2014 | STURGEON BAY, WI | Firm change after gap |