Steven C. Yoggerst
Professional summary
Steven C Yoggerst, who also goes by Steve Yoggerst, Steven Craig Yoggerst, is a registered financial professional currently at CUNA BROKERAGE SERVICES, INC. located in Allison, Iowa.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1985. Steven has worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven C Yoggerst's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 2, 2024 - Present
CUNA BROKERAGE SERVICES, INC.
September 19, 2018 - March 25, 2024
ONEAMERICA SECURITIES, INC.
October 13, 2016 - August 8, 2018
AMERITAS INVESTMENT COMPANY, LLC
March 31, 2015 - September 2, 2016
PARK AVENUE SECURITIES LLC
January 16, 2013 - March 31, 2015
GUARDIAN INVESTOR SERVICES LLC
March 17, 2005 - November 9, 2012
GUARDIAN INVESTOR SERVICES LLC
June 17, 2004 - March 22, 2005
NATCITY INVESTMENTS, INC.
April 2, 2003 - April 12, 2004
DIRECTED SERVICES LLC
March 19, 2002 - January 30, 2003
SAGE DISTRIBUTORS, INC.
September 25, 1997 - July 6, 2001
COREBRIDGE CAPITAL SERVICES, INC.
September 24, 1996 - June 6, 1997
WM FUND SERVICES, INC.
August 10, 1992 - May 31, 1996
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
April 3, 1985 - December 4, 1986
NATIONAL EQUITY SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/2/2024)
Exams
FINRA
Current Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
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