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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2020-12-22 |
| TX | RA | APPROVED_RES | 2019-07-31 |
| IA | RA | APPROVED | 2018-11-02 |
Branch Locations
111 E Call Street, Algona, IA 50511 • United States
301 S 25Th Street, Fort Dodge, IA 50501 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Central Financial Group | Huxley | IA | 05/2009 | 01/2017 |
| Sii | West Des Moines | IA | 01/2017 | 11/2018 |
| Ameritas Investment Corp | Lincoln | NE | 05/2009 | 01/2017 |
| Central Financial Group | Algona | IA | 08/2015 | Present |
| Royal Alliance Associates, Inc. | Fort Dodge | IA | 11/2018 | Present |
1. CENTRAL FINANCIAL GROUP, L.C. POSITION: Partner / COO NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 08/01/2014 ADDRESS: 111 East Call Street,, PO Box 536, Algona IA 50511, United States DESCRIPTION: I am responsible for operational duties within the organization as well as responsible to selling and assisting others with selling fixed insurance products and securities related products / IAR services to meet clients needs. 2. CENTRAL FINANCIAL GROUP - BUSINESS NAME POSITION: Investment Advisor Representative NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/01/2009 ADDRESS: 111 East Call Street,, PO Box 536, Algona IA 50511, United States DESCRIPTION: Sales/Marketing of securities, investment advisory and insurance products. 3. CENTRAL FINANCIAL GROUP - FIXED INVESTMENTS POSITION: Agent NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 80 START DATE: 05/01/2009 ADDRESS: 111 E Call Street, Algona IA 50511, United States DESCRIPTION: Sales/Marketing of Fixed Annuities and Non-Variable Insurance 4. REALTY GROUP, LLC - JOHNSTON POSITION: Owner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2022 ADDRESS: 5700 Merle Hay Road, Johnston IA 50131, United States DESCRIPTION: I am one of the managing partners for this LLC. My duties include the approval of items that need to be done with the building that is the responsibility of the LLC. The building is currently rented to Central Financial Group, LC. with a long-term, triple net lease. 5. REALTY GROUP FORT DODGE, LLC POSITION: Owner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2022 ADDRESS: 301 S. 25th Street, Fort Dodge IA 50510, United States DESCRIPTION: I am one of the managing partners for this LLC. My duties include the approval of items that need to be done with the building that is the responsibility of the LLC. The building is currently rented to Central Financial Group, LC. with a long-term, triple net lease. 6. REALTY GROUP ALGONA, LLC POSITION: Owner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2022 ADDRESS: 111 E. Call Street, Algona IA 50511, United States DESCRIPTION: I am one of the managing partners for this LLC. My duties include the approval of items that need to be done with the building that is the responsibility of the LLC. The building is currently rented to Central Financial Group, LC. with a long-term, triple net lease. 7. RENTAL PROPERTY - BANCROFT POSITION: President NATURE: LLC INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 201 S. Summit St., Bancroft IA 50517, United States DESCRIPTION: 50% owner of rental property. LLC was created to collect rents and pay property expenses.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-02-18 |
| S63 | Uniform Securities Agent State Law Examination | 2009-06-29 |
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