Mark Alan Geertsma, CFP | Financial Professional | Independence, Iowa | NATIONS FINANCIAL GROUP, INC.

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Contact Information

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Disclosures on record.

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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Credentials

CFP®

Certified Financial PlannerSince 1998

Years of Experience

39 years registered in the securities industry

Current & Past Employments

Current

NATIONS FINANCIAL GROUP, INC.Current·CRD# 44181

RIA

BD

305 Enterprise Dr., Independence, IA 50644

October 24, 2016 - Present

NATIONS FINANCIAL GROUP, INC.Current·CRD# 44181

RIA

BD

305 Enterprise Dr., Independence, IA 50644

October 21, 2016 - Present

Past

WINTRUST INVESTMENTS LLCPast·CRD# 875

BD

Independence, IA

December 7, 2006 - October 7, 2016

WINTRUST INVESTMENTS LLCPast·CRD# 875

RIA

Independence, IA

January 8, 2007 - August 18, 2010

JMG CAPITAL ADVISORS, LLCPast·CRD# 143504

RIA

Aurora, IA

July 20, 2007 - March 25, 2008

GREAT LAKES ADVISORS, LLCPast·CRD# 110757

RIA

Independence, IA

January 1, 2002 - December 31, 2006

FOCUSED INVESTMENTS L.L.C.Past·CRD# 37532

BD

Independence, IA

April 1, 1996 - December 7, 2006

WINTRUST INVESTMENTS LLCPast·CRD# 875

BD

Chicago, IL

June 18, 1993 - July 31, 2000

KINGLAND CAPITAL CORPORATIONPast·CRD# 16341

BD

September 27, 1989 - November 5, 1991

JOHN G. KINNARD AND COMPANY, INCORPORATEDPast·CRD# 466

BD

Minneapolis, MN

December 2, 1988 - October 3, 1989

KIMBRIDGE & CO., INC.Past·CRD# 15631

BD

September 24, 1987 - December 12, 1988

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Current Firm

NF

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)

BD

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

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

94

SEC notice filing (44 States and Territories)

Registered to provide investment advisory services in 44 US states and territories.

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 44 US 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 (3/18/2026)

WRAP BROCHURE 33025 (3/18/2026)

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

10,535

AUM (Assets Under Management)

$4,771,466,316

Disclosures

Arbitration

1

Bond

1

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/28/2026	Cover Page	Report
11/26/2025	Cover Page	Report
09/26/2024	Cover Page	Report
11/22/2023	Cover Page	Report

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

UNITED LIFE INSURANCE. 200 1ST ST. SE SUITE 1300 CEDAR RAPIDS, IA 52401. IS INVESTMENT-RELATED. LIFE AND FIXED ANNUITY SALES. POSITION IS A FINANCIAL ADVISOR. STARTED 4-25-23. APPROX 15 HOURS/MONTH SPENT ON BUSINESS, ALL DURING SECURITIES TRADING HOURS. DUTIES INCLUDE SELLING LIFE INSURANCE AND FIXED ANNUITY PRODUCTS// BANKIOWA BANK. 230 FIRST STREET EAST INDEPENDENCE, IA . IS INVESTMENT RELATED. POSITION IS AN SVP/FINANCIAL ADVISOR. STARTED 9/19/89. APPROX. 180 HOURS PER MONTH, OF WHICH 8 HOURS ARE DURING TRADING HRS. DUTIES ARE TO PROVIDE INVESTMENT SERVICES

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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".

NF

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)

BD

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Arizona
(10/31/2016)

RR

California
(10/21/2016)

RR

Colorado
(2/3/2023)

RR

Florida
(10/24/2016)

RR

Illinois
(10/24/2016)

RR

Iowa
(10/24/2016)

IAR

Iowa
(10/24/2016)

RR

Louisiana
(1/30/2024)

RR

Michigan
(7/13/2022)

RR

Minnesota
(10/27/2016)

RR

Missouri
(11/22/2016)

RR

Montana
(10/21/2016)

RR

Nebraska
(11/13/2017)

RR

North Carolina
(3/31/2022)

RR

Ohio
(9/10/2025)

RR

Oklahoma
(2/21/2023)

RR

Oregon
(7/14/2022)

RR

South Dakota
(2/12/2021)

RR

Texas
(10/21/2016)

RR

Virginia
(10/25/2016)

RR

Washington
(10/28/2016)

RR

Wisconsin
(10/21/2016)

RR

Wyoming
(10/21/2016)

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.Note:This rule does not apply to broker-dealer activity.