CK
Chad J. Kruse
NATIONS FINANCIAL GROUP
Dubuque, IA 52001
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CRD#: 3117191
CK
Professional summary
Chad Joseph Kruse is a registered financial advisor currently at NATIONS FINANCIAL GROUP, INC. located in Dubuque, Iowa.
Chad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Chad has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
PRODUCERS FINANCIAL GROUP MIDWEST; IS INVESTMENT RELATED; 50 W DOUGLAS FREEPORT IL 61032; INSURANCE SALES; POSITION IS AGENT. BEGAN JANUARY 6, 2007; 4 HOURS PER MONTH WITH NONE DURING TRADING; SELLS LIFE AND LTC INUSRANCE THROUGH PFGM// CORE INVESTMENTS GROUP. IS INVESTMENT RELATED. 40 MAIN ST., SUITE 103 DUBUQUE, IA 52001. DBA FOR SECURITIES BUSINESS. POSITION IS PRESIDENT/CO-OWNER. STARTED SEPTEMBER 2015. APPROX 160 HRS/MONTH SPENT ON BUSINESS DURING SECURITY TRADING HRS. DUTIES ARE TO DEVELOP CLIENT RELATIONSHIPS AND MANAGEMENT//
CRS (Client Relationship Summary) - RIA
Click below to view Chad Joseph Kruse's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Chad Joseph Kruse'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
June 30, 2016 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 40 Main St. Suite 103, Dubuque, IA 52001RIA
BD
CRD#: 44181
Dubuque, IA
Current
June 30, 2016 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 40 Main St. Suite 103, Dubuque, IA 52001RIA
BD
CRD#: 44181
Dubuque, IA
Past
July 7, 2010 - June 30, 2016
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
DUBUQUE, IA
Past
July 7, 2010 - June 30, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
DUBUQUE, IA
Past
March 16, 2001 - July 7, 2010
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
RIA
CRD#: 13609
DUBUQUE, IA
Past
September 23, 1998 - July 7, 2010
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
DUBUQUE, 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
Arizona(1/23/2023)
RR
Arkansas(3/17/2022)
RR
California(6/30/2016)
RR
Colorado(6/30/2016)
RR
District of Columbia(4/7/2022)
RR
Florida(6/30/2016)
RR
Illinois(6/30/2016)
RR
Indiana(10/9/2023)
RR
Iowa(6/30/2016)
IAR
Iowa(6/30/2016)
RR
Kansas(6/30/2016)
RR
Maryland(2/14/2024)
RR
Michigan(6/30/2016)
RR
Minnesota(6/30/2016)
RR
Missouri(6/30/2016)
RR
Nebraska(6/30/2016)
RR
North Carolina(3/15/2022)
RR
South Dakota(6/30/2025)
RR
Tennessee(2/1/2022)
RR
Texas(6/30/2016)
IAR
Texas(1/6/2025)
RR
Virginia(2/3/2022)
RR
Washington(10/6/2016)
RR
Wisconsin(6/30/2016)
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.
