Adam C. Bormann

PALADIN WEALTH PARTNERS

Clive, IA 50325

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CRD#: 4476079

Professional summary

Adam Charles Bormann, who also goes by Adam C Bormann, is a registered financial advisor currently at PALADIN WEALTH PARTNERS located in Clive, Iowa.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Adam has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Adam C Bormann

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.

1) ADAM BORMANN (INDEPENDENT CONTRACTOR); CLIVE, IA; INSURANCE SALES; OWNER; ACTIVITY BEGAN 04/21/2014; APPROXIMATELY 10 HOURS PER MONTH, 10 HOURS DURING TRADING HOURS; SELL INSURANCE PRODUCTS THROUGH A BROKERAGE GENERAL AGENCY. PRODUCTS INCLUDE LIFE INSURANCE, DISABILITY INCOME INSURANCE, LONG TERM CARE INSURANCE AND FIXED ANNUITIES; COMPENSATION BY COMMISSION.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Charles Bormann'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

June 5, 2017 - Present

PALADIN WEALTH PARTNERS

Office #1: 13375 University Avenue, Suite 300, Clive, IA 50325

RIA

CRD#: 285303

Clive, IA

Past

April 22, 2014 - November 9, 2016

AUSDAL FINANCIAL PARTNERS, INC.

CRD#: 7995

Truckee, CA

Past

April 21, 2014 - January 20, 2017

HJN ADVISORS, LLP

RIA

CRD#: 154983

TRUCKEE, CA

Past

March 16, 2011 - April 22, 2014

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

WEST DES MOINES, IA

Past

March 16, 2011 - April 22, 2014

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

WEST DES MOINES, IA

Past

January 3, 2011 - March 15, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CLIVE, IA

Past

January 3, 2011 - March 15, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CLIVE, IA

Past

May 14, 2008 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

CLIVE, IA

Past

May 14, 2008 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

CLIVE, IA

Past

October 27, 2006 - May 2, 2008

CHOREO, LLC

RIA

CRD#: 111221

DES MOINES, IA

Past

December 5, 2005 - May 2, 2008

BIRCHTREE FINANCIAL SERVICES LLC

CRD#: 15014

DES MOINES, IA

Past

December 7, 2001 - January 3, 2005

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, 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".

PALADIN WEALTH PARTNERS

PALADIN ADVISORY GROUP, LLC | PALADIN WEALTH PARTNERS, LLC | PALADIN WEALTH PARTNERS

CRD#: 285303 / SEC#: 801-112430

RIA

Registered Investment Advisory firm - (2/9/2018 Approved)

Iowa

Registered Investment Advisory firm - (2/16/2018 Terminated)

Texas

Registered Investment Advisory firm - (2/14/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Iowa
(6/5/2017)

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

IAR

Series 65

Date: 10/24/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/18/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/9/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/28/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/6/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PALADIN WEALTH PARTNERS

PALADIN ADVISORY GROUP, LLC | PALADIN WEALTH PARTNERS, LLC | PALADIN WEALTH PARTNERS

CRD#: 285303 / SEC#: 801-112430

RIA

Registered Investment Advisory firm - (2/9/2018 Approved)

Iowa

Registered Investment Advisory firm - (2/16/2018 Terminated)

Texas

Registered Investment Advisory firm - (2/14/2018 Terminated)

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Contact information

Main Address

13375 University Avenue, Suite 300, Clive, IA 50325

Mailing Address

Phone number

(515) 348-6080

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A & 2B 021825 (2/18/2025)

Regulatory assets under management

Total Number of Accounts	283
AUM (Assets Under Management)	$ 213,568,921

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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Advisor Monitoring

Firm Stability Insights

Adam C. Bormann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Charles Bormann's CRS (Customer Relationship Summary).

Certified licenses

Experience

AUSDAL FINANCIAL PARTNERS, INC.

HJN ADVISORS, LLP

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

CHOREO, LLC

BIRCHTREE FINANCIAL SERVICES LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

PALADIN WEALTH PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 10/24/2006

Series 63

Date: 12/18/2001

SIE

Date: 11/9/2016

Series 7

Date: 8/28/2006

Series 6

Date: 12/6/2001

Current Firm

PALADIN WEALTH PARTNERS

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PALADIN WEALTH PARTNERS

TRUST BUT VERIFY

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