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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-09-26 |
| IA | RA | APPROVED | 2024-06-14 |
Branch Locations
600 Boyson Road Ne , Cedar Rapids, IA 52402 • United States
200 Mill Street , Clermont, IA 52135 • United States
370 Main St, Lansing, IA 52151 • United States
820 11Th Ave Sw, Waukon, IA 52172 • United States
801 S. Mechanic Street, Decorah, IA 52101 • United States
205 N Vine St, West Union, IA 52175 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securities America, Inc. | Decorah | IA | 05/2011 | 06/2024 |
| Securities America Advisors | Decorah | IA | 05/2016 | 06/2024 |
| Osaic Wealth, Inc. | Waukon | IA | 06/2024 | Present |
1. DBA - Rude's Investment & Insurance Center 2. KERNDT BROTHERS BANK WEALTH MANAGEMENT POSITION: Financial Advisor NATURE: Employment as a Financial Advisor under a Financial Institution (Kerndt Brothers Savings Bank) which is affiliated with Securities America. The "DBA" is Kerndt Brothers Bank Wealth Management. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/01/2023 ADDRESS: 370 Main Street, Lansing IA 52151, United States DESCRIPTION: Sales and servicing of both commission based and fee-based securities related products and accounts. 3. KERNDT BROTHERS BANK WEALTH MANAGEMENT INSURANCE POSITION: Financial Advisor NATURE: Insurance sales (Fixed & Variable) through Osaic approved vendors & Highland Capital Brokerage. Conducted through my employment with Kerndt Brothers Bank Wealth Management. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 40 START DATE: 06/01/2023 ADDRESS: 801 S. Mechanic Street, Decorah IA 52101, United States DESCRIPTION: Conduct Sales and Servicing of Insurance related contracts and clients.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-03-31 |
| S63 | Uniform Securities Agent State Law Examination | 2009-10-16 |
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