LIBERTY FINANCIAL GROUP, INC.
CRD #111272 SEC #801-124940 ELM GROVE, WI 262-785-1377
SEC Registered
Total AUM
$125.2M
Discretionary
$124.3M
Employees
6
Clients
101
Accounts
639
Firm Details
- Organization Type
- Corporation
- State of Formation
- Wisconsin
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jan 23, 2025
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| WARGIN, THOMAS, MARK | I | CCO | NA | Control |
| WARGIN, THOMAS, MARK | I | CCO | NA | Control |
| WARGIN, THOMAS, MARK | I | CCO | NA | Control |
| WARGIN, THOMAS, MARK | I | CCO | NA | Control |
| LIBERTY FINANCIAL GROUP, INC. | DE | HOLDING COMPANY | E | |
| LIBERTY FINANCIAL GROUP, INC. | DE | HOLDING COMPANY | E | |
| LIBERTY FINANCIAL GROUP, INC. | DE | HOLDING COMPANY | E | |
| LIBERTY FINANCIAL GROUP, INC. | DE | HOLDING COMPANY | E | |
| NOOK, SHANNON, LESLEY | I | PRESIDENT | E | Control |
| NOOK, SHANNON, LESLEY | I | PRESIDENT | E | Control |
| NOOK, SHANNON, LESLEY | I | PRESIDENT | E | Control |
| NOOK, SHANNON, LESLEY | I | PRESIDENT/CCO | E | Control |
| NOOK, SHANNON, LESLEY | I | PRESIDENT | E | Control |
| NOOK, SHANNON, LESLEY | I | PRESIDENT/CCO | E | Control |
| NOOK, SHANNON, LESLEY | I | PRESIDENT/CCO | E | Control |
| SCHROEDER, JUNE, ANN | I | OFFICER | D | Control |
| SCHROEDER, JUNE, ANN | I | OFFICER | D | Control |
| SCHROEDER, JUNE, ANN | I | PRESIDENT | D | Control |
| SCHROEDER, JUNE, ANN | I | OFFICER | D | Control |
| SCHROEDER, JUNE, ANN | I | PRESIDENT | D | Control |
| SCHROEDER, JUNE, ANN | I | PRESIDENT | D | Control |
| SCHROEDER, JUNE, ANN | I | PRESIDENT | D | Control |
| SCHROEDER, JUNE, ANN | I | OFFICER | D | Control |
| SCHROEDER, JUNE, ANN | I | VICE PRESIDENT AND SECRETARY | D | Control |
| SCHROEDER, JUNE, ANN | I | PRESIDENT | D | Control |
| SCHROEDER, JUNE, ANN | I | PRESIDENT | D | Control |
| SCHROEDER, JUNE, ANN | I | VICE PRESIDENT AND SECRETARY | D | Control |
| WARGIN, THOMAS, MARK | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | D | Control |
| WARGIN, THOMAS, MARK | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | D | Control |
| WARGIN, THOMAS, MARK | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | D | Control |
| WARGIN, THOMAS, MARK | I | PRESIDENT | D | Control |
| WARGIN, THOMAS, MARK | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | D | Control |
| WARGIN, THOMAS, MARK | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | D | Control |
| WARGIN, THOMAS, MARK | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | D | Control |
| WARGIN, THOMAS, MARK | I | PRESIDENT | D | Control |
| WARGIN, THOMAS, MARK | I | PRESIDENT, TREASURER AND CHIEF COMPLIANCE OFFICER | D | Control |
| WARGIN, THOMAS, MARK | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | D | Control |
| WARGIN, THOMAS, MARK | I | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | D | Control |
| WARGIN, THOMAS, MARK | I | PRESIDENT, TREASURER AND CHIEF COMPLIANCE OFFICER | D | Control |
Registrations
Federal
IA
Jan 23, 2025 REGISTERED
Notice Filings (3)
FL TX WI
Address
13150 WATERTOWN PLANK RDSUITE 203
ELM GROVE, WI 53122
United States
Phone: 262-785-1377