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AR

Angela M. Roth

NATIONS FINANCIAL GROUP
Independence, IA 50644
Some features on this profile are disabled
CRD#: 3260882
AR

Professional summary

Angela Miller Roth, who also goes by Angela Renae Miller, Angela Miller, Angela Renae Roth, Angela Roth, is a registered financial professional currently at NATIONS FINANCIAL GROUP, INC. located in Independence, Iowa.

Angela is registered as a RR (Registered Representative) and started their career in finance in 2000. Angela has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Angela Renae Miller | Angela Miller | Angela Renae Roth | Angela Roth

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Angela Miller Roth's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 11, 2016 - Present

NATIONS FINANCIAL GROUP, INC.

Office #1: 305 Enterprise Dr., Independence, IA 50644
RIA
BD
CRD#: 44181
Independence, IA
Past

December 7, 2006 - October 11, 2016

WINTRUST INVESTMENTS LLC

BD
CRD#: 875
INDEPENDENCE, IA
Past

November 23, 2001 - December 7, 2006

FOCUSED INVESTMENTS L.L.C.

BD
CRD#: 37532
INDEPENDENCE, IA
Past

December 7, 2000 - November 8, 2001

HARBOUR INVESTMENTS, INC.

BD
CRD#: 19258
MADISON, WI

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.

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
Iowa
(10/11/2016)
RR
Massachusetts
(10/11/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 2/6/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/6/2000
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A 33025 (3/26/2025)
WRAP BROCHURE 33025 (3/26/2025)

Direct owners and executive officers

NamePositionCRD#
NFGI HOLDING CORPORATIONHOLDING CORPORATION
BENNETT, RICHARD SCOTTCEO - CFO858716
BJORSETH, ERIK JOHNCHIEF GROWTH OFFICER4404352
CAIRNEY, STEPHEN MICHAELPRESIDENT3085019
KROUSIE, TRACEY LYNNCHIEF OPERATIONS OFFICER4475482
REIGHARD-KEAN, VICKI LINCHIEF COMPLIANCE OFFICER4238486

Regulatory assets under management

Total Number of Accounts9,822
AUM (Assets Under Management)$ 3,867,522,560

Disclosures

Arbitration1
Bond1

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/26/2025
Cover Page
Report
09/26/2024
Cover Page
Report
11/22/2023
Cover Page
Report
12/28/2022
Cover Page
Report

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#: 44181Independence, IA 50644

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