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Current Employers
Nations Financial Group, Inc.

3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2000-07-13
  • IA RA
    APPROVED
    Since 2000-07-13

Branch Locations

3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411 • UNITED STATES

3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411 • 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
Nations Financial Group, Inc. Cedar Rapids IA 10/1997 Present
Other Businesses

INSURANCE AGENT. IS INVESTMENT RELATED. 3925 FOUNTAINS BLVD. NE, SUITE 200 CEDAR RAPIDS, IA 52411, LIFE, NO TIME SPEND DURING TRADING HOURS// AAVIN MEZZANINE FUND LLP. INVESTMENT RELATED. 118 3RD AVE. SE #630. CEDAR RAPIDS, IA 52401. NATURE OF BUSINESS IS TO MANAGE PRIVATE SBA MEZZANINE FUND. POSITION IS MEMBER OF VALUATION BOARD TO FUND MANAGERS. START 10-1-15. APPROX 12 hrs/YEAR, 12 HRS DURING SECURITY TRADING HRS. DUTIES ARE TO EVALUATE THE VALUATION POLICIES OF THE FUND // Kids First. 420 6th St., Ste 160 Cedar Rapids, IA 52401. Not investment related. Nature of business is to support kids rightS in legal and divorce matters. Position is Board of Directors. Started 7-20-18. Approx 2 hrs/month during security trading hrs. Duties are as director on board. // NATIONS FINANCIAL ADVISORS. LLC. 3925 FOUNTAINS BLVD. NE, SUITE 200 CEDAR RAPIDS, IA 52411. IS INVESTMENT RELATED. NATURE OF BUSINESS IS LLC OWNED BY NFGI HOLDING. POSITION IS PRESIDENT. STARTED 3/13/13. NO HOURS SPENT ON BUSINESS. NO CURRENT ACTIVITY.// NFGI HOLDING CORP. 3925 FOUNTAINS BLVD. NE, SUITE 200 CEDAR RAPIDS, IA 52411. IS INVESTMENT RELATED. NATURE OF BUSINESS IS HOLDING CORP. POSITION IS PRESIDENT. STARTED 11/26/13. APPRX 5 HRS/MONTH SPENT ON BUSINESS, ALL DURING SECURTY TRADING HRS. DUTIES ARE AS HOLDING COMPANY

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-14
S63 Uniform Securities Agent State Law Examination 1980-09-20
  • S65 Uniform Investment Adviser Law Examination
    1999-12-14
  • S63 Uniform Securities Agent State Law Examination
    1980-09-20
Other Names
  • Scott Bennett

View on SEC IAPD

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