RH
Rochelle M. Henry Ernberger
NATIONS FINANCIAL GROUP
Cedar Rapids, IA 52402
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CRD#: 2239740
RH
Professional summary
Rochelle Marie Henry Ernberger, who also goes by Rochelle Marie Ernberger, Rochelle Marie Henry, Shelly Henry, Rochelle Marie Henryernberger, is a registered financial advisor currently at NATIONS FINANCIAL GROUP, INC. located in Cedar Rapids, Iowa.
Rochelle is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Rochelle has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rochelle Marie Ernberger | Rochelle Marie Henry | Shelly Henry | Rochelle Marie Henryernberger
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.
Platinum Advisory Group. 373 Collins Rd. NE, Cedar Rapids, IA 52402. Is investment related. Nature of business is insurance and investments. Relationship with other business is tenant of office space. Started 10/1/10. Approx 40 hrs/month during security trading hrs. Duties are selling investment and insurance as a financial consultant// Ernberger Financial. 165 Morgan Ct. Cedar Rapids, IA 52411. Is investment related. Nature of business is an S-Corp. Relationship with other business is owner. Started 10/1/10. Approx 40 hrs/month during security trading hrs. Duties are as S-Corp owner// House rental. 2100 W Lemon Tree Pl #70. Chandler, AZ 85224/ 5639 J St. SW Cedar Rapids, IA 52404 // 2536 Linwood St. SW Cedar Rapids, IA 52404. Not investment related. Nature of business is rental property. Position is owner. Started 1/1/2020. Approx 1 hour/month on business, none during security trading hrs. Duties are as owner of rental property.// Platinum Advisory Group. 373 Collins Rd. NE, Suite 214. Cedar Rapids, A 52402. Is investment related. Nature of business is insurance and annuities. Position is agent. Started 7/1/23. Approx 1-2 hours/month spent on business, wth 1-2 hrs during security trading hours. Duties are offering insurance and fixed annuities
CRS (Client Relationship Summary) - RIA
Click below to view Rochelle Marie Henry Ernberger's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rochelle Marie Henry Ernberger'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
September 30, 2011 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 373 Collins Rd. Ne Suite 214, Cedar Rapids, IA 52402RIA
BD
CRD#: 44181
Cedar Rapids, IA
Current
September 30, 2011 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 373 Collins Rd. Ne Suite 214, Cedar Rapids, IA 52402RIA
BD
CRD#: 44181
Cedar Rapids, IA
Past
February 17, 2006 - October 28, 2011
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
CEDAR RAPIDS, IA
Past
December 1, 2001 - October 28, 2011
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
CEDAR RAPIDS, IA
Past
July 20, 1995 - December 1, 2001
FIRSTAR INVESTMENT SERVICES,INC.
BD
CRD#: 14536
MORRIS PLAINS, NJ
Past
May 16, 1994 - July 10, 1995
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
August 19, 1992 - May 24, 1994
SECURITIES CORPORATION OF IOWA
BD
CRD#: 6945
CEDAR RAPIDS, IA
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(8/25/2016)
RR
Arizona(12/20/2012)
RR
Colorado(10/31/2014)
RR
Florida(9/30/2011)
RR
Idaho(7/31/2019)
RR
Illinois(1/5/2012)
RR
Indiana(5/21/2019)
RR
Iowa(9/30/2011)
IAR
Iowa(9/30/2011)
RR
Minnesota(9/30/2011)
RR
Missouri(5/31/2012)
RR
Ohio(1/12/2022)
RR
South Dakota(7/1/2019)
RR
Tennessee(3/26/2024)
RR
Texas(11/29/2021)
IAR
Texas(3/6/2023)
RR
Virginia(9/30/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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#: 44181Cedar Rapids, IA 52402TRUST BUT VERIFY
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Contact information
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