NH
Naomi Y. Hanson-galema
CUNA BROKERAGE SERVICES
Parkersburg, IA
Some features on this profile are disabled
CRD#: 2162153
NH
Professional summary
Naomi Yvette Hanson-galema, who also goes by Naomi Yvette Hansongalema, is a registered financial professional currently at CUNA BROKERAGE SERVICES, INC. located in Parkersburg, Iowa.
Naomi is registered as a RR (Registered Representative) and started their career in finance in 1992. Naomi has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Naomi Yvette Hansongalema
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.
Owner of B A Doer 2 LLC, 2748 COUNTY ROAD 122 FORT RIPLEY, MN 56449, property purchase and rental, not investment related, beginning 9/2015, 3-5 hours per week - none during securities trading hours.
CRS (Client Relationship Summary) - BD
Click below to view Naomi Yvette Hanson-galema'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
December 7, 2011 - Present
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
Parkersburg, IA
Past
June 25, 2015 - March 30, 2023
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
Brainerd, MN
Past
December 9, 2011 - June 22, 2015
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
Brainerd, MN
Past
March 15, 2010 - May 28, 2010
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
FORT RIPLEY, MN
Past
July 15, 2009 - May 28, 2010
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
FORT RIPLEY, MN
Past
August 28, 2007 - August 6, 2008
P.J. ROBB VARIABLE, LLC
BD
CRD#: 38339
MEMPHIS, TN
Past
September 14, 2005 - July 31, 2007
FORESIDE DISTRIBUTION SERVICES, L.P.
BD
CRD#: 15634
PORTLAND, ME
Past
June 4, 2002 - September 1, 2005
MISSIONSQUARE RETIREMENT
RIA
CRD#: 108783
WASHINGTON, DC
Past
July 10, 1993 - January 3, 2005
MISSIONSQUARE INVESTMENT SERVICES
BD
CRD#: 23189
WASHINGTON, DC
Past
May 22, 1992 - June 11, 1993
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
WAVERLY, IA
Past
February 24, 1992 - May 22, 1992
CENTURY INVESTORS OF AMERICA, INC.
BD
CRD#: 5322
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(12/20/2011)
RR
Alaska(12/16/2011)
RR
Arizona(12/22/2011)
RR
Arkansas(12/19/2011)
RR
California(12/16/2011)
RR
Colorado(12/16/2011)
RR
Connecticut(12/22/2011)
RR
Delaware(12/16/2011)
RR
District of Columbia(12/16/2011)
RR
Florida(12/16/2011)
RR
Georgia(12/16/2011)
RR
Hawaii(12/19/2011)
RR
Idaho(12/16/2011)
RR
Illinois(12/16/2011)
RR
Indiana(12/16/2011)
RR
Iowa(12/12/2011)
RR
Kansas(12/20/2011)
RR
Kentucky(12/16/2011)
RR
Louisiana(12/19/2011)
RR
Maine(12/19/2011)
RR
Maryland(12/19/2011)
RR
Massachusetts(12/19/2011)
RR
Michigan(12/16/2011)
RR
Minnesota(12/9/2011)
RR
Mississippi(12/19/2011)
RR
Missouri(12/15/2011)
RR
Montana(12/19/2011)
RR
Nebraska(12/20/2011)
RR
Nevada(12/21/2011)
RR
New Hampshire(12/21/2011)
RR
New Jersey(12/19/2011)
RR
New Mexico(12/16/2011)
RR
New York(12/16/2011)
RR
North Carolina(12/20/2011)
RR
North Dakota(12/16/2011)
RR
Ohio(12/19/2011)
RR
Oklahoma(12/16/2011)
RR
Oregon(12/16/2011)
RR
Pennsylvania(12/16/2011)
RR
Rhode Island(12/16/2011)
RR
South Carolina(12/16/2011)
RR
South Dakota(12/19/2011)
RR
Texas(12/19/2011)
RR
Utah(12/16/2011)
RR
Vermont(12/22/2011)
RR
Virginia(12/16/2011)
RR
Washington(12/15/2011)
RR
West Virginia(12/21/2011)
RR
Wisconsin(12/16/2011)
RR
Wyoming(12/19/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CB
CUNA BROKERAGE SERVICES, INC.
CUNA BROKERAGE SERVICES, INC. | TRUSTAGE WEALTH MANAGEMENT SOLUTIONS DBA OF CUNA BROKERAGE | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS WESTCONSIN INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS TENNESSEE VALLEY INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS SUNMARK LIFE STAGE ADVISORY | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS SUNMARK LIFE STAGE ADVISORY | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS MECU INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS FIRST WEALTH ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS FINANCIALEDGE ADVISORY GROUP | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS ENVISTA INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS CUNA MUTUAL GROUP FINANCIAL ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS CLEARVIEW INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS BCU INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS ALEC INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS AAFCU INVESTMENT & RETIREMENT ADVISORS
CRD#: 13941 / SEC#: 801-60099, 8-30027
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
2000 Heritage Way, Waverly, IA 50677
Mailing Address
2000 Heritage Way, Waverly, IA 50677
Phone number
(319) 352-4090
Established
Wisconsin since 05/11/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
716
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
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.
