Gene Toboyek is a new addition to the Finance and Business Law Department as of August of 2008. His emphasis is on the various law courses offered by the department, along with financial planning type courses. Gene comes to us from Northwestern Mutual and private legal and financial planning practices prior to that. He is Wisconsin Life Insurance licensed and holds industry designations including the Chartered Financial Consultant (ChFC), Chartered Life Underwriter (CLU) and the Fellow of Life Management (FLMI). Gene graduated with his Bachelor’s Degree in Business Management from right here in Whitewater and completed his legal studies at the University of Missouri at Columbia. During his time in the financial services industry, Gene also completed several FINRA registrations, including General Securities Registered Principal and Muni Bond Registered Principal. Gene holds a current life/health insurance license. He currently resides in Dousman, Wisconsin, with his wife He has three grown children.
Serve as general securities principal and municipal bond principal with wealth management firm. Principal for supervisory functions which enables me to supervise trading and sales practices. Instrumental in putting in place electronic storage and document flow for operations and compliance.
Cedar Creek Securities
Milwaukee, WI
Serve as general securities principal and municipal bond principal with small broker dealer. Compliance and regulatory consultant for small financial services/brokerage firm; also serve as their Municipal Bond Registered Principal for supervisory functions.
DAK Properties
Milwaukee, WI
Legal advice and representation to real estate holding firm owning various real estate properties in and around the Milwaukee, WI, area.
Cedar Creek Securities
Milwaukee, WI
This was a one time project to audit this broker/dealer's operations and sales supervision practices.