Roger D. Ellerhoff

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CRD#: 1155937

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Roger Dale Ellerhoff was a registered financial professional .

Roger is a previously registered financial professional and started their career in finance in 1983. Roger had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

INDEPENDENT INSURANCE AGENT. IT IS INVESTMENT RELATED. 1233 DUCK CREEK DR. IOWA CITY, IA 52246. LICENSED SINCE 1982. NATURE OF BUSINESS IS SELLING INSURANCE PRODUCTS. POSITION IS INSURANCE AGENT. SPEND ABOUT 1 HOUR PER MONTH ON INSURANCE BUSINESS, NONE DURING SECURITIES TRADING HOURS. DUTIES INCLUDE SELLING AND SERVICING FIXED INSURANCE PRODUCTS.// MIDAMERICA SECURITIES MANAGEMENT COMPANY. 1233 DUCK CREEK DR. IOWA CITY, IA 52246. IS INVESTENT REATED. NATURE OF BUSINESS IS INVESTMENT SERVICES. POSITION IS FINANCIAL CONSULTANT. STARTED 3-13-98. APPROX 160 HRS/MONTH SPENT ON BUSINESS, WITH 8 HRS/DAY DURING SECURITY TRADING HRS. DUTIES ARE TO OFFER INVESTMENT SERVICES TO CLIENTS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 24, 2006 - October 12, 2023

NATIONS FINANCIAL GROUP, INC.

RIA

CRD#: 44181

IOWA CITY, IA

Past

March 16, 1998 - October 12, 2023

NATIONS FINANCIAL GROUP, INC.

CRD#: 44181

IOWA CITY, IA

Past

July 9, 1990 - March 16, 1998

AEGON USA SECURITIES INC.

CRD#: 13302

CEDAR RAPIDS, IA

Past

October 24, 1983 - May 10, 1990

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

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".

NATIONS FINANCIAL GROUP, INC.

FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.

CRD#: 44181 / SEC#: 801-57407, 8-50588

RIA

Registered Investment Advisory firm - SEC (5/3/2000 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/23/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/3/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/20/1990

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 9/1/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 10/21/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

NATIONS FINANCIAL GROUP, INC.

FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.

CRD#: 44181 / SEC#: 801-57407, 8-50588

RIA

Registered Investment Advisory firm - SEC (5/3/2000 Approved)

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

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Contact information

Main Address

3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411

Mailing Address

3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411

Phone number

(319) 393-9541

Established

Iowa since 11/14/1997

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (44 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A 33025 (3/26/2025)

WRAP BROCHURE 33025 (3/26/2025)

Direct owners and executive officers

Name	Position	CRD#
NFGI HOLDING CORPORATION	HOLDING CORPORATION
BENNETT, RICHARD SCOTT	CEO - CFO	858716
BJORSETH, ERIK JOHN	CHIEF GROWTH OFFICER	4404352
CAIRNEY, STEPHEN MICHAEL	PRESIDENT	3085019
KROUSIE, TRACEY LYNN	CHIEF OPERATIONS OFFICER	4475482
REIGHARD-KEAN, VICKI LIN	CHIEF COMPLIANCE OFFICER	4238486

Regulatory assets under management

Total Number of Accounts	9,822
AUM (Assets Under Management)	$ 3,867,522,560

Disclosures

Arbitration	1
Bond	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/26/2025	Cover Page	Report
09/26/2024	Cover Page	Report
11/22/2023	Cover Page	Report
12/28/2022	Cover Page	Report

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.

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Roger D. Ellerhoff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NATIONS FINANCIAL GROUP, INC.

AEGON USA SECURITIES INC.

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

NATIONS FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/23/2006

Series 63

Date: 9/3/1983

SIE

Date: 10/1/2018

Series 7

Date: 7/20/1990

Series 22

Date: 9/1/1984

Series 6

Date: 10/21/1983

Current Firm

NATIONS FINANCIAL GROUP, INC.

Contact information

SEC notice filing (44 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

NATIONS FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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