DB
Douglas D. Bennett
NATIONS FINANCIAL GROUP
Lawrence, KS 66049
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CRD#: 1867275
DB
Professional summary
Douglas Duane Bennett, who also goes by Doug Bennett, is a registered financial advisor currently at NATIONS FINANCIAL GROUP, INC. located in Lawrence, Kansas.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Douglas has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Doug Bennett
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.
First Trust of Kansas. 3310 Mesa Way, Suite 101. Lawrence, KS 66049. Is investment related.Nature of business is personal corporation for business expenses, etc. Position is owner. Started June 1993. Approx 1 hr/month on business, none during security trading hrs. Duties are as registered representative// Fifteen:22 Financial Partners. 3310 Mesa Way, Ste. 101 Lawrence, KS 66049. Is investment related. Nature of business is Investment Services. Position is Partner. Started 1-1-17. Approx 160 hrs/month spent on business, all during security trading hrs. Duties are as a Registered Representative. // Creative One Diversified Financial Services. 11460 Tomahawk Creek Pkwy, Ste 200. Leawood, KS 66211. Is investment related. Nature of business is fixed annuity and life insurance. Position is agent. Started 1-22-20. Spend approx 1 hr/month on business, none during security trading hrs. Duties are that of agent.//
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Duane Bennett's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Douglas Duane Bennett's 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®
NoneExperience
Current
August 13, 2010 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 3310 Mesa Way Suite 101, Lawrence, KS 66049RIA
BD
CRD#: 44181
Lawrence, KS
Current
August 13, 2010 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 3310 Mesa Way Suite 101, Lawrence, KS 66049RIA
BD
CRD#: 44181
Lawrence, KS
Past
February 11, 2002 - August 16, 2010
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
CRD#: 13609
LAWRENCE, KS
Past
November 1, 1993 - August 16, 2010
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
LAWRENCE, KS
Past
January 16, 1991 - November 5, 1993
MARQUETTE FINANCIAL GROUP, INC.
BD
CRD#: 345
MINNEAPOLIS, MN
Past
September 14, 1988 - January 31, 1991
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/20/2015)
RR
Arizona(8/13/2010)
RR
Arkansas(8/13/2010)
RR
California(8/13/2010)
RR
Colorado(8/13/2010)
RR
Florida(8/13/2010)
RR
Illinois(1/25/2023)
RR
Indiana(7/6/2021)
RR
Iowa(8/26/2020)
RR
Kansas(8/13/2010)
IAR
Kansas(8/13/2010)
RR
Michigan(6/19/2014)
RR
Minnesota(8/13/2010)
RR
Missouri(8/13/2010)
RR
Nevada(8/10/2020)
RR
North Carolina(3/23/2023)
RR
Ohio(8/13/2010)
RR
Oklahoma(7/7/2022)
RR
Pennsylvania(8/13/2010)
RR
Rhode Island(1/11/2023)
RR
South Carolina(2/7/2020)
RR
Texas(12/4/2014)
IAR
Texas(2/27/2023)
RR
Washington(1/13/2017)
RR
Wisconsin(4/22/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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)
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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
87
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
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 | ||
| 09/26/2024 | ||
| 11/22/2023 | ||
| 12/28/2022 |
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.
Company Information
NATIONS FINANCIAL GROUP, INC.
CRD#: 44181Lawrence, KS 66049TRUST BUT VERIFY
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Contact information
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