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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2024-01-19 |
| CA | RA | APPROVED | 2024-01-19 |
| FL | RA | APPROVED | 2024-01-19 |
| IL | RA | APPROVED | 2024-01-19 |
| IA | RA | APPROVED | 2024-01-19 |
| MN | RA | APPROVED | 2024-01-19 |
| TX | RA | APPROVED_RES | 2024-01-19 |
Branch Locations
978 Home Plaza Suite 400, Waterloo, IA 50701 • United States
1106 220Th St, Jesup, IA 50648 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Travelers Life Co. | Des Moines | IA | 06/1986 | Present |
| Monat Financial Services/Owner | Waterloo | IA | 06/1993 | 11/2017 |
| Sii Investments, Inc | Waterloo | IA | 01/2003 | 11/2017 |
| Pem, Llc | Waterloo | IA | 01/2014 | Present |
| St Athanasuis School Endowment | Waterloo | IA | 05/2011 | Present |
| Don Bosco Endowment Fund | Waterloo | IA | 05/2011 | Present |
| Monat Insurance Services | Waterloo | IA | 05/2011 | 12/2022 |
| Woodbury Financial Services Inc | Waterloo | IA | 11/2017 | 01/2024 |
| Osaic Wealth, Inc. | Jesup | IA | 01/2024 | Present |
1) CFNEAI - COMMUNITY FOUNDATION OF NE IOWA POSITION: Board Member NATURE: Non Profit - Community Foundation of North East Iowa. Corporation. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2015 ADDRESS: 3117 Greenhil Circle, Cedar Falls IA 50613, United States; DESCRIPTION: Board member / Investment Committee. As committee members we review the third party outside management of the funds of the endowment and review the proposed changes by the portfolio managers that fit the policy statement and investment objectives of the foundation. 2) MONAT WEALTH MANAGEMENT, INC.INC. POSITION: President NATURE: S-Corporation that owns the shares of the business entity. This is our DBA name where everything to do withOsaic Wealth, Inc.goes through ever since we joined the BD. This is also the entity that we will be processing our fixed insurance business through. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 01/04/2018 ADDRESS: 978 Home Plaza, Waterloo IA 50701, United States DESCRIPTION: President/Owner - this is just an S corp that owns our practice and client files.This is our DBA account. 3) A & P HOLDINGS, LLC POSITION: Partner NATURE: LLC. Holding company for company hard assets. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/04/2018; ADDRESS: 978 Home Plaza, Waterloo, Iowa IA 50701, United States DESCRIPTION: Owner operator - maintain hard assets of the company. 4) PEM HOLDINGS, LLC POSITION: Owner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/08/2014 ADDRESS: 978 Home Plaza, Waterloo IA 50701, United States DESCRIPTION: Owner of office building - management of the building and grounds. Receives rent for office space rented to Monat Wealth Management INC. 5) MILESTONES PLANNING, INC. POSITION: Past President NATURE: S-Corporation that owns the shares of the business entity. This is our business name where everything to do with Osaic Wealth, Inc. goes through. This is also the entity that we will be processing our fixed insurance business through moving forward. INVESTMENT RELATED: Yes NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 06/16/2025 ADDRESS: 978 HOME PLAZA, Waterloo IA 50701, United States DESCRIPTION: Advisor - OSJ - Financial planning meeting with clients and other professionals.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1988-01-21 |
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