MH
Marshall D. Heitzman
CUNA BROKERAGE SERVICES
Allison, IA
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CRD#: 4337460
MH
Professional summary
Marshall Duane Heitzman, CFP®, who also goes by Marshall D Heitzman, is a registered financial professional currently at CUNA BROKERAGE SERVICES, INC. located in Allison, Iowa.
Marshall is registered as a RR (Registered Representative) and started their career in finance in 2001. Marshall has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Marshall D Heitzman
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.
MAST PROPERTIES, LLC.
POSITION: Owner/Partner NATURE: Rental income. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/31/2015
ADDRESS: 724 North 1st St, Suite 600, Minneapolis MN 55401, United States
DESCRIPTION: Maintain properties leased by group homes.
CRS (Client Relationship Summary) - BD
Click below to view Marshall Duane Heitzman'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®
Experience
Current
April 29, 2019 - Present
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
Allison, IA
Past
April 29, 2019 - March 30, 2023
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
WAVERLY, IA
Past
September 3, 2015 - April 16, 2019
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
MINNEAPOLIS, MN
Past
September 3, 2015 - April 16, 2019
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
MINNEAPOLIS, MN
Past
October 14, 2010 - August 31, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
MINNEAPOLIS, MN
Past
December 16, 2009 - August 31, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
October 1, 2008 - April 8, 2009
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
MINNEAPOLIS, MN
Past
December 5, 2005 - September 8, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
Past
April 11, 2001 - August 22, 2005
STATE FARM VP MANAGEMENT CORP.
BD
CRD#: 43036
BLOOMINGTON, IL
Past
February 23, 2001 - April 11, 2001
STATE FARM INVESTMENT MANAGEMENT CORP.
BD
CRD#: 3487
BLOOMINGTON, IL
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
Minnesota(4/29/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CB
CUNA BROKERAGE SERVICES, INC.
CUNA BROKERAGE SERVICES, INC. | TRUSTAGE WEALTH MANAGEMENT SOLUTIONS DBA OF CUNA BROKERAGE | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS WESTCONSIN INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS TENNESSEE VALLEY INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS SUNMARK LIFE STAGE ADVISORY | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS SUNMARK LIFE STAGE ADVISORY | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS MECU INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS FIRST WEALTH ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS FINANCIALEDGE ADVISORY GROUP | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS ENVISTA INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS CUNA MUTUAL GROUP FINANCIAL ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS CLEARVIEW INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS BCU INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS ALEC INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS AAFCU INVESTMENT & RETIREMENT ADVISORS
CRD#: 13941 / SEC#: 801-60099, 8-30027
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
2000 Heritage Way, Waverly, IA 50677
Mailing Address
2000 Heritage Way, Waverly, IA 50677
Phone number
(319) 352-4090
Established
Wisconsin since 05/11/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
716
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
