DS
Duane A. Sturm
SAGESPRING WEALTH PARTNERS
Clarinda, IA 51632
Some features on this profile are disabled
CRD#: 2275213
DS
Professional summary
Duane Arthur Sturm, who also goes by Duane Sturm, is a registered financial advisor currently at SAGESPRING WEALTH PARTNERS located in Clarinda, Iowa.
Duane is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Duane has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Duane Sturm
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)Name of Business: Personal Address: 114 W Main St , Clarinda , IA, 51632, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 01/01/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Landlord - keeping up physical property, collecting rent, paying expenses (2)Name of Business: SageSpring Wealth Partners Address: 114 West Main Street, Clarinda, IA, 51632, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: Yes Start Date: 11/01/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Financial advisor (3)Name of Business: Sturm-Kew Wealth Team Address: 114 West Main Street, Clarinda, IA, 51632, United States Activity Type: Support Company - Non Owner Position/Title: Independent Contractor Investment Related: Yes Start Date: 04/25/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Financial advisor (4)Name of Business: Vanbridge Address: 114 West Main Street, Clarinda, IA, 51632, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 11/20/2019 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Provide insurance solutions to clients and introduce them to Vanbridge agents
CRS (Client Relationship Summary) - RIA
Click below to view Duane Arthur Sturm'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
February 22, 2017 - Present
SAGESPRING WEALTH PARTNERS
Office #1: 114 West Main Street, Clarinda, IA 51632RIA
CRD#: 283515
Clarinda, IA
Past
January 2, 2009 - January 31, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
CLARINDA, IA
Past
April 4, 2002 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
CLARINDA, IA
Past
October 6, 1999 - April 11, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
CLARINDA, IA
Past
September 8, 1992 - October 8, 1999
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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".
SW
SAGESPRING WEALTH PARTNERS
SAGESPRING WEALTH PARTNERS | SOUTHWESTERN INVESTMENT ADVISORY SERVICES, LLC | SOUTHWESTERN INVESTMENT ADVISORY SERVICES, INC. | SIAS INSURANCE GROUP
CRD#: 283515 / SEC#: 801-107971
RIA
Registered Investment Advisory firm - (7/6/2016 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(2/22/2017)
IAR
Texas(6/3/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
SW
SAGESPRING WEALTH PARTNERS
SAGESPRING WEALTH PARTNERS | SOUTHWESTERN INVESTMENT ADVISORY SERVICES, LLC | SOUTHWESTERN INVESTMENT ADVISORY SERVICES, INC. | SIAS INSURANCE GROUP
CRD#: 283515 / SEC#: 801-107971
RIA
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Contact information
Main Address
801 Crescent Centre Drive Suite 600, Franklin, TN 37067
Mailing Address
Phone number
(615) 861-6100
Established
Firm type
Fiscal year end
# of Employees
180
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,811 |
| AUM (Assets Under Management) | $ 6,485,071,326 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
