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AL

Angela D. Lund

CUNA BROKERAGE SERVICES
Denver, IA
Some features on this profile are disabled
CRD#: 1092067
AL

Professional summary

Angela Darlene Lund, who also goes by Angela Darlene Brockney, Angela D Elliott, Angela Darlene Elliott Lund, Angela Darlene Lund, Angela Darlene Elliott Lund None, is a registered financial professional currently at CUNA BROKERAGE SERVICES, INC. located in Denver, Iowa.

Angela is registered as a RR (Registered Representative) and started their career in finance in 2015. Angela has worked at 3 firms and has passed the Series 66, SIE, Series 52, Series 7, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Angela Darlene Brockney | Angela D Elliott | Angela Darlene Elliott Lund | Angela Darlene Lund | Angela Darlene Elliott Lund 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Angela Darlene Lund's CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 13, 2016 - Present

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
Denver, IA
Past

April 13, 2016 - March 30, 2023

CUNA BROKERAGE SERVICES, INC.

RIA
CRD#: 13941
WAVERLY, IA
Past

November 17, 2015 - March 22, 2016

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA
CRD#: 13609
Cedar Rapids, IA
Past

November 17, 2015 - March 22, 2016

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BD
CRD#: 13609
Cedar Rapids, IA
Past

September 3, 2015 - December 9, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
WATERLOO, IA
Past

June 29, 2015 - December 9, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
WATERLOO, IA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(4/13/2016)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/3/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 52
Date: 4/13/2017
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 6/29/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/11/2017
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/4/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CB
CUNA BROKERAGE SERVICES, INC.
CUNA BROKERAGE SERVICES, INC. | TRUSTAGE WEALTH MANAGEMENT SOLUTIONS DBA OF CUNA BROKERAGE | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS WESTCONSIN INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS TENNESSEE VALLEY INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS SUNMARK LIFE STAGE ADVISORY | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS SUNMARK LIFE STAGE ADVISORY | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS MECU INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS FIRST WEALTH ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS FINANCIALEDGE ADVISORY GROUP | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS ENVISTA INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS CUNA MUTUAL GROUP FINANCIAL ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS CLEARVIEW INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS BCU INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS ALEC INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS AAFCU INVESTMENT & RETIREMENT ADVISORS

CRD#: 13941 / SEC#: 801-60099, 8-30027

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
2000 Heritage Way, Waverly, IA 50677
Mailing Address
2000 Heritage Way, Waverly, IA 50677
Phone number
(319) 352-4090
Established
Wisconsin since 05/11/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
716

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CBSI WRAP FEE BROCHURE 3-2022 (3/31/2022)
CBSI FORM ADV 2A 3-2022 (3/31/2022)

Direct owners and executive officers

NamePositionCRD#
CUNA MUTUAL INVESTMENT CORPORATIONOWNER
BARBATO, PAUL DAMIENSENIOR VICE PRESIDENT7064310
BOAN, JOSEPH SALVATOREPRESIDENT/DIRECTOR2379993
BROCK, JENNY MARIETREASURER6654483
COPELAND, CHRISTOPHER JUDDDIRECTOR6437117
HABERSTICH, MELISSA MCHIEF COMPLIANCE OFFICER4190838
KARLS, WILLIAM ANTONDIRECTOR6847792
POPPE, CHRISTINE ELIZABETHLICENSING OFFICER4080909
SCHULTZ, TAMMY LYNNDIRECTOR7991087
THOMAS, BARTH TSECRETARY/DIRECTOR2849100

Regulatory assets under management

Total Number of Accounts20,233
AUM (Assets Under Management)$ 5,790,352,615

Disclosures

Regulatory Event5
Arbitration6

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.

Company Information

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941Denver, IA

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