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Current Employers
Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-09-26
IA RA APPROVED 2024-06-14
  • TX RA
    APPROVED_RES
    Since 2024-09-26
  • IA RA
    APPROVED
    Since 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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 05/2011 → 06/2024
    Securities America, Inc.
    Decorah, IA
  • 05/2016 → 06/2024
    Securities America Advisors
    Decorah, IA
  • 06/2024 → Present
    Waukon, IA
Previous Registrations
  • 2016-05-05 → 2024-06-14
    Securities America Advisors, Inc.
    Decorah, IA
    Decorah, IA
Other Businesses

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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-03-31
S63 Uniform Securities Agent State Law Examination 2009-10-16
  • S66 Uniform Combined State Law Examination
    2016-03-31
  • S63 Uniform Securities Agent State Law Examination
    2009-10-16

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