Roy D. Elliott

NATIONS FINANCIAL GROUP

Cedar Rapids, IA 52411

Some features on this profile are disabled

CRD#: 1345882

Professional summary

Roy Daniel Elliott, who also goes by Roy Daniel Elliot, Dan Elliott III, Roy Daniel Elliott III, is a registered financial professional currently at NATIONS FINANCIAL GROUP, INC. located in Cedar Rapids, Iowa.

Roy is registered as a RR (Registered Representative) and started their career in finance in 1985. Roy has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Roy Daniel Elliot | Dan Elliott Iii | Roy Daniel Elliott Iii

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 Roy Daniel Elliott'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

July 24, 2020 - Present

NATIONS FINANCIAL GROUP, INC.

Office #1: 3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411

RIA

CRD#: 44181

Cedar Rapids, IA

Past

November 2, 2018 - July 20, 2020

OSAIC WEALTH, INC.

CRD#: 23131

CEDAR RAPIDS, IA

Past

May 13, 2016 - November 2, 2018

SIGNATOR INVESTORS, INC.

CRD#: 468

CEDAR RAPIDS, IA

Past

December 1, 2009 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

CEDAR RAPIDS, IA

Past

March 15, 1996 - October 7, 2009

TOWER SQUARE SECURITIES, INC.

RIA

CRD#: 833

RICHMOND, TX

Past

March 14, 1996 - October 7, 2009

TOWER SQUARE SECURITIES, INC.

CRD#: 833

RICHMOND, TX

Past

May 23, 1985 - August 22, 1994

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

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.

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

Iowa
(7/24/2020)

Texas
(7/24/2020)

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

Series 63

Date: 7/9/1985

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: 5/18/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/20/1997

General Securities Principal Examination

SRO Registrations

FINRA

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Joshua Gerber

PERELLA WEINBERG PARTNERS LP

NEW YORK, NY

John Friedman

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY

David Shaffer

OSAIC WEALTH, INC.

IAR

Denver, PA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Roy D. Elliott

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roy Daniel Elliott's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SIGNATOR INVESTORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TOWER SQUARE SECURITIES, INC.

TOWER SQUARE SECURITIES, INC.

TOWER SQUARE SECURITIES, INC.

Primary Firm SEC Registration

NATIONS FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/9/1985

SIE

Date: 10/1/2018

Series 7

Date: 5/18/1985

Series 24

Date: 11/20/1997

FINRA

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

Similar Advisors