Clint Joseph Pogemiller
CFP®Professional Summary
Clint Joseph Pogemiller, CFP®, who also goes by Clint J Pogemiller, is a registered financial advisor currently at MWA FINANCIAL SERVICES INC. located in Grand Rapids, Michigan. Clint is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Clint has worked at 4 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Clint J Pogemiller
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Credentials
Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
MWA FINANCIAL SERVICES INC. | MWA FINANCIAL SERVICES, INC.
Contact Information
Main Address
1701 1st Avenue, Rock Island, IL 61201Mailing Address
1701 1st Avenue, Rock Island, IL 61201Phone Number
(309) 558-3100Established
Illinois since 02/02/2001Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
721SEC notice filing (50 States and Territories)
Registered to provide investment advisory services in 50 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 50 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MODERN WOODMEN OF AMERICA | PARENT CO. | — |
| BOHNERT, LESTER LEE | DIRECTOR | 6933862 |
| DOYLE, SHEA EUGENE | SECRETARY/DIRECTOR | 4577202 |
| EIGENBROD, NEIL THOMAS | FINOP | 5615693 |
| JENSEN, DAWN M | CHIEF OPERATIONS OFFICER | 4936560 |
| LYPHOUT, JERALD JAMES | DIRECTOR | 4148959 |
| POGEMILLER, CLINT JOSEPH | PRESIDENT/CHAIRMAN | 2977743 |
| RECH, KELLIE MARIE | CHIEF COMPLIANCE OFFICER | 4863283 |
| SIMMS, CHARLES EDMUND | DIRECTOR | 2553306 |
| SWANSON, TODD DAVID | TREASURER | 4844282 |
Regulatory Assets Under Management
Total Number of Accounts
3,724AUM (Assets Under Management)
$639,989,844Disclosures
Regulatory Event
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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.
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Primary Firm SEC Registration
MWA FINANCIAL SERVICES INC. | MWA FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
(10/8/2024)
(6/24/2024)
(10/8/2024)
(10/8/2024)
(4/24/2014)
(10/8/2024)
(10/8/2024)
(10/8/2024)
(9/14/2021)
(10/11/2024)
(11/20/2023)
(10/22/2021)
(11/14/2001)
(2/27/2004)
(10/8/2024)
(11/14/2001)
(10/8/2024)
(10/8/2024)
(10/20/2020)
(10/8/2024)
(10/8/2024)
(7/28/2015)
(10/8/2024)
(4/4/2023)
(10/8/2024)
(10/8/2024)
(12/11/2019)
(10/8/2024)
(10/8/2024)
(10/8/2024)
(10/8/2024)
(10/7/2024)
(10/8/2024)
(3/5/2013)
(4/4/2018)
(10/8/2024)
(10/8/2024)
(12/11/2019)
(4/10/2017)
(10/8/2024)
(10/11/2017)
(10/8/2024)
(10/21/2016)
(10/22/2021)
(1/8/2015)
(12/21/2021)
(10/8/2024)
(10/8/2024)
(11/24/2015)
(10/8/2024)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1998About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Clint Joseph Pogemiller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Clint Joseph Pogemiller's CRS (Customer Relationship Summary).
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