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4135 Nw Urbandale Dr, Urbandale, IA 50322 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SD | RA | APPROVED | 2026-07-20 |
Branch Locations
401 Vivian Street South, Aberdeen, SD 57401 • United States
4135 Nw Urbandale Dr, Urbandale, IA 50322 • USA
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| U.S. Bancorp Investments, Inc. | Aberdeen | SD | 08/2021 | 09/2023 |
| U.S. Bank | Aberdeen | SD | 06/2017 | 09/2023 |
| Unemployed | Golden Valley | MN | 07/2016 | 09/2016 |
| Cortrust Bank | Aberdeen | SD | 09/2016 | 01/2017 |
| Unemployed | Aberdeen | SD | 01/2017 | 06/2017 |
| Kovack Securities, Inc. | Fort Lauderdale | FL | 09/2023 | Present |
| Schwan Financial Advisors, Llc | Aberdeen | SD | 09/2023 | Present |
| Integrity Alliance, Llc | Aberdeen | SD | 07/2026 | Present |
1) SCHWAN FINANCIAL AGENCY POSITION: Employee NATURE: Advisory business INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 09/18/2023 ADDRESS: 401 Vivian Street South, Aberdeen SD 57401, United States DESCRIPTION: Financial planning, IAR, solicitation and financial consulting 2) DBA SCHWAN FINANCIAL GROUP POSITION: Employee NATURE: Investment related, investment advisory, financial planning, management and insurance, INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 160 START DATE: 09/18/2023 ADDRESS: 401 Vivian Street South, Aberdeen SD 57401, United States DESCRIPTION: RIA, meet with clients for financial planning. 3) SCHWAN FINANCIAL ADVISORS POSITION: Employee NATURE: Advisory business INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 09/18/2023 ADDRESS: 401 Vivian Street South, Aberdeen SD 57401, United States DESCRIPTION: Financial planning, IAR, solicitation and financial consulting
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-12-20 |
| S63 | Uniform Securities Agent State Law Examination | 2021-12-02 |
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