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3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-02-17 |
| IA | RA | APPROVED | 2019-07-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wunderlich Securities, Inc. | Memphis | TN | 09/2015 | 07/2019 |
| Nations Financial Group, Inc. | Dubuque | IA | 07/2019 | Present |
1. Core Investments Group. 40 Main St., Dubuque, IA 52001. Is investment related. Nature of business is DBA offering wealth management. Position is registered representative. Started 7/1/19. Approx 180 hrs/month on this business, with 130 hrs during security trading hrs. Responsibilities related to wealth management business including investment portfolio management and planning functions /// 2. Bernardi Group, LLC. 40 Main St., Suite 103 Dubuque, IA 52001. Is investment related. Nature of business is DBA used for investment business. Position is President. Started 7/5/2019. Approx 40 hrs/month on business, with 6 during security trading hrs. Duties are as Investment Advisor.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-03 |
| S63 | Uniform Securities Agent State Law Examination | 1984-05-02 |
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