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Current Employers
Buena Vista Investment Management Llc

478 East Grand Ave Suite 202, Wisconsin Rapids, WI 54494 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APP_PEND_IARCE 2026-01-01
  • WI RA
    APP_PEND_IARCE
    Since 2026-01-01

Branch Locations

478 East Grand Ave Suite 202, Wisconsin Rapids, WI 54494 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Cour Financial Wisconsin Rapids WI 01/2006 12/2019
Regal Investment Advisors Llc Kentwood MI 11/2013 05/2017
Previous Registrations
  • 2017-05-31 → 2019-12-31
    Cour Financial Llc
    Wisconsin Rapids, WI
  • 2013-11-27 → 2017-05-30
    Wiconsin Rapids, WI
    Kentwood, MI
  • 2011-02-22 → 2013-12-31
    Onyx Wealth Advisors, Inc.
    Wisconsin Rapids, WI
  • 2012-05-25 → 2013-12-11
    First Allied Advisory Services, Inc.
    San Diego, CA
    Wisconsin Rapids, WI
  • 2012-05-25 → 2012-07-02
    First Allied Securities, Inc.
    San Diego, CA
    Wisconsin Rapids, WI
  • 2006-03-17 → 2011-02-24
    Wisconsin Rapids, WI
  • 2005-10-20 → 2006-02-28
    Wisconsin Rapids, WI
Other Businesses

1. the name of the other business: Insurance Sales; whether the business is investment-related: No; the address of the other business: Same as Adviser; the nature of the other business: Life Insurance and fixed, Immediate and Index annuity sales; your position, title, or relationship with the other business: Insurance sales; the start date of your relationship: 2012; the approximate number of hours/month you devote to the other business: 8; the number of hours you devote to the other business during securities trading hours: 1-2 per week; and briefly describe your duties relating to the other business Sale of Life Insurance and fixed, Immediate and Index annuities.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-12-07
S63 Uniform Securities Agent State Law Examination 2001-11-16
  • S66 Uniform Combined State Law Examination
    2004-12-07
  • S63 Uniform Securities Agent State Law Examination
    2001-11-16

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