Toboyek, Gene

At UW-Whitewater

University - Faculty/Staff
Finance & Business Law
Office Phone
(262) 472-3950
Office Location
HH 3517

Gene Toboyek has been with the Finance and Business Law Department since 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, securities registered, 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.

Juris Doctor
General Law
University of Missouri - Columbia
Bachelor of Business Administration
University of Wisconsin - Whitewater
Associate of Science
General Studies
University of Wisconsin - Rock County

Chartered Financial Consultant
The American College
May 19, 2019
Chartered Life Underwriter
American College
June 01, 2006
Fellow Life Management Institute
May 01, 2005
Life/Health Insurance License
State of Wisconsin
July 1998
Series 7, 24, 53, 63, 65 Registrations

National Association of Professional Financial Advisors (NAPFA)
August 2018 - Current
State Bar of Wisconsin
July 1991 - Current

Integrating Critical Thinking in Finance Curriculum through the Process Writing Approach
Journal of Financial Education

Freedom Wealth Alliance
Brookfield, WI
In this executive level position, 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 tasks and accountabilities. Also, responsible for SEC documents and regulatory filings.
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.

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