Kay Kapets is a registered investment advisor, based in Appleton, WI, with 20 years of industry experience.
Location
4321 N Ballard Rd, Appleton, WI, 54919-0001
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Thrivent Distributors, LLC
September 2023 - Present · 3 yrs
Thrivent Distributors, LLCBroker
September 2023 - Present · 3 yrs
Thrivent Investment Management INC.
April 2017 - Present · 9 yrs 5 mos
Thrivent Investment Management INC.
April 2017 - Present · 9 yrs 5 mos
Thrivent Investment Management INC.Broker
April 2017 - Present · 9 yrs 5 mos
Previous Registrations
Thrivent Investment Management INC.
October 2007 - July 2016 · 8 yrs 9 mos
Thrivent Investment Management INC.Broker
October 2007 - July 2016 · 8 yrs 9 mos
Natcity Investments, INC.Broker
August 2005 - August 2007 · 2 yrs
Natcity Investments, INC.
August 2005 - August 2007 · 2 yrs
Thrivent Investment Management INC.Broker
July 2005 - July 2005 · 0 mos
Thrivent Investment Management INC.Broker
January 2004 - August 2004 · 7 mos
State Registrations1 state
WI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.