Vicki L. Reighard-kean

NATIONS FINANCIAL GROUP

Cedar Rapids, IA 52411

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CRD#: 4238486

Professional summary

Vicki Lin Reighard-kean, who also goes by VIcki Lin Penick, Vicki Lin Reighard, Vicki Lin Reighard-kean, Vicki Reighardkean, Vicki Kean, is a registered financial professional currently at NATIONS FINANCIAL GROUP, INC. located in Cedar Rapids, Iowa.

Vicki is registered as a RR (Registered Representative) and started their career in finance in 2000. Vicki has worked at 14 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 14, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Vicki Lin Penick | Vicki Lin Reighard | Vicki Lin Reighard-Kean | Vicki Reighardkean | Vicki Kean

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 Vicki Lin Reighard-kean'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

August 5, 2025 - Present

NATIONS FINANCIAL GROUP, INC.

Office #1: 3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411

RIA

CRD#: 44181

Cedar Rapids, IA

Past

March 6, 2025 - August 1, 2025

NH INVESTMENT & SECURITIES AMERICA, INC.

CRD#: 30660

NEW YORK, NY

Past

January 11, 2024 - November 5, 2024

ASHTON THOMAS SECURITIES, LLC

CRD#: 16629

ROCHESTER, NY

Past

June 29, 2023 - June 20, 2024

LESTE USA

CRD#: 301289

MIAMI, FL

Past

June 9, 2023 - August 8, 2025

SI SECURITIES, LLC

CRD#: 170937

Boston, MA

Past

June 5, 2023 - August 4, 2025

DRAKE STAR SECURITIES LLC

CRD#: 131338

NEW YORK, NY

Past

June 1, 2023 - July 21, 2025

EC SECURITIES LLC

CRD#: 287845

NEW YORK, NY

Past

May 30, 2023 - August 4, 2025

HEALTHCARE COMMUNITY SECURITIES CORP.

CRD#: 36026

RENSSELAER, NY

Past

May 7, 2019 - May 2, 2023

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

CEDAR RAPIDS, IA

Past

August 16, 2016 - April 30, 2019

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

ST PETERSBURG, FL

Past

May 17, 2016 - June 23, 2016

NATIONS FINANCIAL GROUP, INC.

CRD#: 44181

CEDAR RAPIDS, IA

Past

March 23, 2012 - April 8, 2016

SECURITIES MANAGEMENT & RESEARCH, INC.

CRD#: 759

Cedar Rapids, IA

Past

November 4, 2009 - April 8, 2016

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

Cedar Rapids, IA

Past

November 21, 2007 - August 27, 2009

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

IOWA CITY, IA

Past

August 25, 2000 - June 9, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

WASHINGTON, 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".

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)

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.

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

Iowa
(8/11/2025)

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.

Exams

State Security Law Exam

Series 63

Date: 9/15/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/24/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 7/10/2024

Compliance Officer Examination

Principal/Supervisory Exam

Series 53

Date: 11/6/2007

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/22/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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

SEC notice filing (44 States and Territories)

FINRA licenses (51 States and Territories)

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

Name	Position	CRD#
NFGI HOLDING CORPORATION	HOLDING CORPORATION
BENNETT, RICHARD SCOTT	CEO - CFO	858716
BJORSETH, ERIK JOHN	CHIEF GROWTH OFFICER	4404352
CAIRNEY, STEPHEN MICHAEL	PRESIDENT	3085019
KROUSIE, TRACEY LYNN	CHIEF OPERATIONS OFFICER	4475482
REIGHARD-KEAN, VICKI LIN	CHIEF COMPLIANCE OFFICER	4238486

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	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.

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Vicki L. Reighard-kean

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vicki Lin Reighard-kean's CRS (Customer Relationship Summary).

Certified licenses

Experience

NH INVESTMENT & SECURITIES AMERICA, INC.

ASHTON THOMAS SECURITIES, LLC

LESTE USA

SI SECURITIES, LLC

DRAKE STAR SECURITIES LLC

EC SECURITIES LLC

HEALTHCARE COMMUNITY SECURITIES CORP.

TRANSAMERICA INVESTORS SECURITIES, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

NATIONS FINANCIAL GROUP, INC.

SECURITIES MANAGEMENT & RESEARCH, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

AMERITAS INVESTMENT COMPANY, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

NATIONS FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/15/2000

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/24/2000

Series 14

Date: 7/10/2024

Series 53

Date: 11/6/2007

Series 24

Date: 11/22/2003

FINRA

Current Firm

NATIONS FINANCIAL GROUP, INC.

Contact information

SEC notice filing (44 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

NATIONS FINANCIAL GROUP, INC.

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