CT
Chad A. Tuneberg
WORLD EQUITY GROUP
Rockford, IL
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CRD#: 2581630
CT
Professional summary
Chad Alan Tuneberg MR., who also goes by Chad Alan Tuneberg, is a registered financial advisor currently at WORLD EQUITY GROUP, INC. located in Rockford, Illinois.
Chad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Chad has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chad Alan Tuneberg
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) Fixed Insurance Products, Investment related, Started 4-1995, 0 hrs/mo, not really doing at this time, 1408 National Ave., Rockford, IL 61103, Fixed and Equity Index Annuities, Financial Advisor, Duties: I don't currently use these products with clients, but am licensed to do so. (2) City of Rockford - Alderman-3rd Ward, Not investment related, Started 5/2017, Approx 30 hrs/mo, 10 during trading hours, 425 E. State St., Rockford, IL 61104, Nature: Representing constituents of 3rd Ward, Duties: Rockford City Council acts in conjunction with the Mayor as the legislative and policy making body of the municipality. There are presently fourteen council members (aldermen) elected by ward, with four year terms all ending in the same year, council members legislate once a week as a while and also meet in bi-weekly committee meetings; Finance and Personnel, Planning and development, and Code and Regulation. Aldermen make decisions, pass ordinances, appropriate funds and present initiatives so as to best represent the needs of both their respective constituents and the City of Rockford as a whole. (3) Rockford Area Venues & Entertainment Authority (RAVE), Not investment related, Started 6/2018, Approx 2 hrs/mo, all during trading hours, 300 Elm St., Rockford, IL 61101, Nature: Governing Board of the BMO Harris Bank Center, Coronado Performing Arts Theatre, and Davis Park. Oversees the operation, continuation ad success of the facilities. Position: Alderman (non-voting board member), Duties: Rockford City Council liaison. Attend meetings and ensure open communications between the city-owned venues and the RAVE Board.
CRS (Client Relationship Summary) - RIA
Click below to view Chad Alan Tuneberg MR.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Chad Alan Tuneberg MR.'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
October 20, 2017 - Present
WORLD EQUITY GROUP, INC.
RIA
BD
CRD#: 29087
Rockford, IL
Current
September 1, 2009 - Present
WORLD EQUITY GROUP, INC.
RIA
BD
CRD#: 29087
Rockford, IL
Past
July 21, 2003 - August 31, 2009
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
CHICAGO, IL
Past
August 23, 2002 - July 21, 2003
RE-DIRECT SECURITIES CORP
BD
CRD#: 35518
VILLA PARK, IL
Past
April 1, 1998 - November 20, 2000
LASALLE FINANCIAL SERVICES, INC.
BD
CRD#: 20373
CHICAGO, IL
Past
December 4, 1996 - April 1, 1998
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
Past
April 28, 1995 - April 2, 1996
FIMCO SECURITIES GROUP, INC.
BD
CRD#: 30343
PORT WASHINGTON, WI
Past
February 10, 1995 - April 15, 1996
COMERICA SECURITIES
BD
CRD#: 17079
DETROIT, MI
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".
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago 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
Arizona(9/1/2009)
RR
Florida(8/3/2010)
RR
Illinois(9/1/2009)
IAR
Illinois(10/20/2017)
RR
Indiana(9/1/2009)
RR
Nevada(1/9/2019)
RR
North Carolina(9/1/2009)
RR
Pennsylvania(5/22/2020)
RR
Tennessee(2/8/2013)
RR
Texas(10/19/2022)
RR
Virginia(10/2/2013)
RR
Wisconsin(9/1/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
425 N Martingale Road Suite 1220, Schaumburg, IL 60173
Mailing Address
425 N Martingale Road Suite 1200, Schaumburg, IL 60173
Phone number
(847) 342-1700
Established
Illinois since 09/13/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
170
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,151 |
| AUM (Assets Under Management) | $ 944,844,374 |
Disclosures
| Regulatory Event | 12 |
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.
