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3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2022-03-29 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Prudential Insurance Company Of America | Dubuque | IA | 04/2009 | 03/2017 |
| Prudential Investment Management Service, Llc | Dubuque | IA | 04/2009 | 03/2017 |
| Global Portfolio Strategies, Inc. | Dubuque | IA | 10/2011 | 03/2017 |
| Steele Capital Management, Inc | Dubuque | IA | 03/2017 | 03/2022 |
| Nations Financial Group, Inc. | Dubuque | IA | 03/2022 | Present |
CORE INVESTMENTS GROUP. 40 MAIN ST., SUITE 103 DUBUQUE, IA 52001. IS INVESTMENT RELATED. NATURE OF BUSINESS IS DBA OFFERING WEALTH MANAGEMENT. POSITION IS EMPLOYEE. STARTED 3/28/22. APPROX 160 HOURS SPENT ON BUSINESS PER MONTH WITH 160 DURING SECURITY TRADING HOURS. DUTIES ARE CLIENT SERVICE INCLUDING FINANCIAL PLANNING, INVESTMENT RESEARCH AND RECOMMENDATIONS, TRADING AND OTHER GENERAL OFFICE TASKS. // MOUNT PLEASANT HOME. 1695 MT. PLEASANT ST. DUBUQUE, IA 52001. NOT INVESTMENT RELATED. NATURE OF BUSINESS IS ASSISTED LIVING FACILITY. POSITION IS TRUSTEE. STARTED IN 2019. SPEND APPROX 1 HOUR/MONTH ON BUSINESS , WITH NONE DURING SECURITY TRADING HOURS. DUTIES ARE AS MEMBER OF BOARD OF TRUSTEES, OVERSEEING ENDOWMENT
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-09-26 |
| S63 | Uniform Securities Agent State Law Examination | 2009-05-09 |
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