RV
Rebecca R. Volkerding
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CRD#: 1445515
RV
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.
Rebecca Ruth Volkerding, who also goes by Becky Volkerding, was a registered financial professional .
Rebecca is a previously registered financial professional and started their career in finance in 1986. Rebecca had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Becky Volkerding
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.
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®
NoneExperience
Past
March 15, 2006 - December 16, 2022
MWA FINANCIAL SERVICES INC.
BD
CRD#: 112630
Jackson, MO
Past
February 3, 2003 - November 1, 2004
FIRST HEARTLAND CAPITAL, INC.
BD
CRD#: 32460
LAKE ST. LOUIS, MO
Past
July 1, 2002 - January 24, 2003
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
Past
February 5, 1992 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
BD
CRD#: 4205
MINNEAPOLIS, MN
Past
June 3, 1986 - January 16, 1992
LUTHERAN BROTHERHOOD SECURITIES CORP.
BD
CRD#: 4205
MINNEAPOLIS, MN
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".
MF
MWA FINANCIAL SERVICES INC.
MWA FINANCIAL SERVICES INC. | MWA FINANCIAL SERVICES, INC.
CRD#: 112630 / SEC#: 801-107091, 8-53255
RIA
Registered Investment Advisory firm - SEC (1/4/2016 Approved)Alabama
Registered Investment Advisory firm - SEC (4/11/2016 Terminated)Arizona
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)California
Registered Investment Advisory firm - SEC (1/3/2010 Terminated)Colorado
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (1/26/2016 Terminated)Georgia
Registered Investment Advisory firm - SEC (2/12/2016 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/1/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)Indiana
Registered Investment Advisory firm - SEC (1/29/2016 Terminated)Iowa
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)Kansas
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Louisiana
Registered Investment Advisory firm - SEC (12/18/2013 Terminated)Maine
Registered Investment Advisory firm - SEC (2/2/2016 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/31/2015 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Michigan
Registered Investment Advisory firm - SEC (2/2/2016 Terminated)Minnesota
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Mississippi
Registered Investment Advisory firm - SEC (12/13/2013 Terminated)Nebraska
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/13/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (12/12/2013 Terminated)South Dakota
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)Tennessee
Registered Investment Advisory firm - SEC (3/29/2016 Terminated)Texas
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (1/21/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago 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.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
MF
MWA FINANCIAL SERVICES INC.
MWA FINANCIAL SERVICES INC. | MWA FINANCIAL SERVICES, INC.
CRD#: 112630 / SEC#: 801-107091, 8-53255
RIA
Registered Investment Advisory firm - SEC (1/4/2016 Approved)Alabama
Registered Investment Advisory firm - SEC (4/11/2016 Terminated)Arizona
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)California
Registered Investment Advisory firm - SEC (1/3/2010 Terminated)Colorado
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (1/26/2016 Terminated)Georgia
Registered Investment Advisory firm - SEC (2/12/2016 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/1/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)Indiana
Registered Investment Advisory firm - SEC (1/29/2016 Terminated)Iowa
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)Kansas
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Louisiana
Registered Investment Advisory firm - SEC (12/18/2013 Terminated)Maine
Registered Investment Advisory firm - SEC (2/2/2016 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/31/2015 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Michigan
Registered Investment Advisory firm - SEC (2/2/2016 Terminated)Minnesota
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Mississippi
Registered Investment Advisory firm - SEC (12/13/2013 Terminated)Nebraska
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/13/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (12/12/2013 Terminated)South Dakota
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)Tennessee
Registered Investment Advisory firm - SEC (3/29/2016 Terminated)Texas
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (1/21/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
1701 1st Avenue, Rock Island, IL 61201
Mailing Address
1701 1st Avenue, Rock Island, IL 61201
Phone number
(309) 558-3100
Established
Illinois since 02/02/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
674
SEC notice filing (48 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MODERN WOODMEN OF AMERICA | PARENT CO. | |
| BOHNERT, LESTER LEE | DIRECTOR | 6933862 |
| DOYLE, SHEA EUGENE | SECRETARY/DIRECTOR | 4577202 |
| EIGENBROD, NEIL THOMAS | FINOP | 5615693 |
| JENSEN, DAWN M | CHIEF OPERATIONS OFFICER | 4936560 |
| LYPHOUT, JERALD JAMES | DIRECTOR | 4148959 |
| POGEMILLER, CLINT JOSEPH | PRESIDENT/CHAIRMAN | 2977743 |
| RECH, KELLIE MARIE | CHIEF COMPLIANCE OFFICER | 4863283 |
| SIMMS, CHARLES EDMUND | DIRECTOR | 2553306 |
| SWANSON, TODD DAVID | TREASURER | 4844282 |
| VAN, BRETT MATTHEW | DIRECTOR | 6543047 |
Regulatory assets under management
| Total Number of Accounts | 2,298 |
| AUM (Assets Under Management) | $ 376,859,066 |
Disclosures
| Regulatory Event | 1 |
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.
