DR
Donald F. Rupp
WEITZEL FINANCIAL SERVICES
Dubuque, IA 52002
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CRD#: 1040639
DR
Professional summary
Donald Frederick Rupp is a registered financial advisor currently at WEITZEL FINANCIAL SERVICES, INC. located in Dubuque, Iowa.
Donald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Donald has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
DONALD RUPP - INSURANCE SALES, INV-RELATED-NO, 2750 ANDREW CT, SELL FIXED INSURANCE AND FIXED ANNUITIES, LIFE INSURANCE SALES, START 07/2015, 20 HRS/MO, 5 HRS/MO DURING SECURITIES TRADING HOURS, SALES
CRS (Client Relationship Summary) - RIA
Click below to view Donald Frederick Rupp's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Donald Frederick Rupp's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 10, 2017 - Present
WEITZEL FINANCIAL SERVICES, INC.
Office #1: 2200 John F. Kennedy Rd Suite 103, Dubuque, IA 52002RIA
BD
CRD#: 27346
Dubuque, IA
Current
July 23, 2013 - Present
WEITZEL FINANCIAL SERVICES, INC.
Office #1: 2200 John F. Kennedy Rd Suite 103, Dubuque, IA 52002RIA
BD
CRD#: 27346
Dubuque, IA
Past
July 12, 2011 - July 19, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
DUBUQUE, IA
Past
March 19, 1997 - August 17, 2009
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
DUBUQUE, IA
Past
October 29, 1982 - March 25, 1997
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
June 21, 1982 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WF
WEITZEL FINANCIAL SERVICES, INC.
WEITZEL FINANCIAL SERVICES | WEITZEL FINANCIAL SERVICES, INC.
CRD#: 27346 / SEC#: 801-118164, 8-43093
RIA
Registered Investment Advisory firm - SEC (3/4/2020 Approved)Illinois
Registered Investment Advisory firm - SEC (3/4/2020 Terminated)Iowa
Registered Investment Advisory firm - SEC (3/4/2020 Terminated)Texas
Registered Investment Advisory firm - SEC (3/4/2020 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/4/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Iowa(7/23/2013)
IAR
Iowa(1/10/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WF
WEITZEL FINANCIAL SERVICES, INC.
WEITZEL FINANCIAL SERVICES | WEITZEL FINANCIAL SERVICES, INC.
CRD#: 27346 / SEC#: 801-118164, 8-43093
RIA
Registered Investment Advisory firm - SEC (3/4/2020 Approved)Illinois
Registered Investment Advisory firm - SEC (3/4/2020 Terminated)Iowa
Registered Investment Advisory firm - SEC (3/4/2020 Terminated)Texas
Registered Investment Advisory firm - SEC (3/4/2020 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/4/2020 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
2200 John F Kennedy Rd Suite 103, Dubuque, IA 52002
Mailing Address
2200 John F. Kennedy Rd. Suite 103, Dubuque, IA 52002-2840
Phone number
(563) 583-6020
Established
Iowa since 08/01/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
3
SEC notice filing (5 States and Territories)
FINRA licenses (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,593 |
| AUM (Assets Under Management) | $ 274,305,590 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
