Rodney W. Goben

AVIOR WEALTH MANAGEMENT

OMAHA, NE 68154

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CRD#: 2095028

Professional summary

Rodney Wayne Goben, who also goes by Rod Goben, is a registered financial advisor currently at AVIOR WEALTH MANAGEMENT, LLC located in Omaha, Nebraska.

Rodney is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Rodney has worked at 9 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rod Goben

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.

(1) CORNHUSKER CHRISTIAN FOUNDATION. BOARD MEMBER, NO FINANCIAL RESPONSIBILITY. 4/6/2011. BOARD VOTED TO DISSOLVE FOUNDATION IN NOVEMBER 2011. ALL PROCEEDS BEING DISPERSED TO FOUR CHARITIES BY JUNE 2012 AND THE FOUNDATION WILL NO LONGER EXIST. (2) MEMBER OF THE YORK COLLEGE ADVISORY COUNCIL TO THE PRESIDENT; THIS IS AN ADVISORY FORUM WITH NO POLICY OF FINANCIAL IMPLEMENTATION. (3) NELSON VANDENBURG & CAMPBELL; INVESTMENT RELATED; 14301 FNB PARKWAY, SUITE 110, OMAHA, NE 68134; RIA; 2/1/2012; 80 HRS/MONTH; 80 HRS/MONTH DURING SECURITIES HRS; SERVING IN AN ADVISORY ROLE TO CLIENTS IN REGARD TO INVESTMENT RELATED PLANNING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rodney Wayne Goben'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

March 6, 2012 - Present

AVIOR WEALTH MANAGEMENT, LLC

Office #1: 14301 First National Bank Parkway Suite 410, Omaha, NE 68154

RIA

CRD#: 148674

OMAHA, NE

Past

February 23, 2012 - November 30, 2012

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

OMAHA, NE

Past

May 6, 2008 - February 21, 2012

PRINCIPAL SECURITIES, INC.

CRD#: 1137

OMAHA, NE

Past

January 2, 2003 - May 7, 2008

PARKLAND SECURITIES, LLC

CRD#: 115368

OMAHA, NE

Past

August 12, 2002 - December 31, 2002

SPC

RIA

CRD#: 110692

OMAHA, NE

Past

February 9, 2002 - December 31, 2002

PARKLAND SECURITIES, LLC

CRD#: 115368

ANN ARBOR, MI

Past

March 2, 2001 - February 9, 2002

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

February 21, 1995 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

February 21, 1995 - February 28, 2001

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

September 21, 1990 - February 21, 1995

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, 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".

AVIOR WEALTH MANAGEMENT, LLC

CRD#: 148674 / SEC#: 801-69773

RIA

Registered Investment Advisory firm - (12/4/2008 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Iowa
(3/11/2022)

IAR

Nebraska
(3/8/2012)

IAR

Texas
(3/6/2012)

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

IAR

Series 65

Date: 3/2/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/26/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 9/20/1990

Investment Company Products/Variable Contracts Representative Examination

Current Firm

AVIOR WEALTH MANAGEMENT, LLC

CRD#: 148674 / SEC#: 801-69773

RIA

Registered Investment Advisory firm - (12/4/2008 Approved)

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Contact information

Main Address

14301 First National Bank Parkway Suite 410, Omaha, NE 68154

Mailing Address

Phone number

(402) 218-4064

Established

Firm type

Fiscal year end

# of Employees

201

SEC notice filing (42 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AVIOR ADV 2A 3/2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	4,385
AUM (Assets Under Management)	$ 5,083,670,234

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Rodney W. Goben

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rodney Wayne Goben's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

PRINCIPAL SECURITIES, INC.

PARKLAND SECURITIES, LLC

SPC

PARKLAND SECURITIES, LLC

WALNUT STREET SECURITIES, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

SECURIAN FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

AVIOR WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/2/2012

Series 63

Date: 9/26/1990

Series 6

Date: 9/20/1990

Current Firm

AVIOR WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (42 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AVIOR WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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