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4135 Nw Urbandale Dr, Urbandale, IA 50322 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NE | RA | APPROVED | 2022-05-02 |
| IA | RA | APPROVED | 2022-04-19 |
| TX | RA | APPROVED_RES | 2022-04-19 |
Branch Locations
15808 W Dodge Rd Suite 200, Omaha, NE 68118 • United States
701 W Sheridan Ave, Shenandoah, IA 51601 • United States
1108 Broadway, Denison, IA 51442 • United States
101 E Main St, Clarinda, IA 51632 • 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 |
|---|---|---|---|---|
| Tagge*Rutherford | Elkhorn | NE | 06/1997 | Present |
| Cetera Advisors Llc | Denver | CO | 01/2013 | 08/2020 |
| Lpl Financial Llc | Omaha | NE | 08/2020 | 04/2022 |
| Brokers International Financial Services | Omaha | NE | 04/2022 | Present |
1. TR Financial; securities related; 15808 West Dodge Road, suite 200, Omaha, NE 68118; DBA for Securities; Owner; 01/01/2004; 30 hours per month, 30 hours during securities hours; Management of company operations, 20% owner. 2. Peterson Investment Management; securities related; 15808 West Dodge Road, suite 200, Omaha, NE 68118; DBA for doing business under TR Financial; President; 120 hours per month; 120hours during securities hours; Sales and service of securities business. 3. Insurance Agent; not securities related; 15808 West Dodge Road, suite 200, Omaha, NE 68118; Insurance Agent; 01/01/2000; 10 hours per month, 10 hours during securities hours; Sales and service of fixed insurance products. 4. 15808 West Dodge LLC; not securities related; 15808 West Dodge Road, suite 200, Omaha, NE 68118; Building ownership; Owner; 09/24/2014; 0 hours per month, 0 hours during securities hours; part ownership of building. 5. JM&MM Farms; not securities related; 296 Skyline Drive, Elkhorn, NE 68022; Farm Ownership; Owner; 09/10/2021; 1 hour per month, 0 hours during securities hours, Farm ownership for cash rent. 6. Lakhos LLC; not securities related; 568 Zack Wheat Drive, Sunrise Beach, MO 65079; Owns cabin with 3 brothers; 12/21/2012; 0 hours per month, 0 hours during securities hours. co-owner with brothers of a cabin. 7. MIB Holdings: not securities related; 296 Skyline Drive, Elkhorn, NE 68022; Farming, passive business, cash rent only; Owner; 01/25/2017; 1 hour per month, 0 hours during securities hours; annual meeting with tenants.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-11-21 |
| S63 | Uniform Securities Agent State Law Examination | 1997-10-07 |
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