MV
Mark D. Vance
MIDWEST HERITAGE FINANCIAL ADVISORS
West Des Moines, IA 50265
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CRD#: 4516230
MV
Professional summary
Mark Daniel Vance is a registered financial advisor currently at MIDWEST HERITAGE FINANCIAL ADVISORS located in West Des Moines, Iowa and OSAIC WEALTH, INC. located in West Des Moines, Iowa.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Mark has worked at 14 firms and has passed the Series 65, Series 66, 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.
HY-VEE FINANCIAL SERVICES POSITION: Agent NATURE: Insurance Sales and Service INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 03/11/2024 ADDRESS: 3580 EP True Parkway, West Des Moines IA 50265 DESCRIPTION: Insurance Sales and Service MIDWEST HERITAGE FINANCIAL SERVICES POSITION: Agent NATURE: Insurance Sales and Service INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 03/11/2024 ADDRESS: 3580 EP True Parkway, West Des Moines IA 50265 DESCRIPTION: Insurance Sales and Service MIDWEST HERITAGE FINANCIAL ADVISORS POSITION: Financial Planner NATURE: MIDWEST HERITAGE FINANCIAL ADVISORS - INVESTMENT ADVISOR REPRESENTATIVE - INVESTMENT ADVISORY SERVICES - INVESTMENT RELATED: YES - LOCATED AT 3580 EP TRUE PKWY WEST DES MOINES, IA 50265 INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 03/11/2024 ADDRESS: 3580 EP True Parkway, West Des Moines IA 50265 DESCRIPTION: Fee Based Planning MILLARD UNITED SPORTS POSITION: Board Member NATURE: I am on the board of my local athletic organization, Millard United Sports. I currently sit on the board not holding a specific title but will attend monthly board meetings. My position on the board is specific to our Girls Fastpitch Softball teams for come rec and competitive teams. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 13308 Millard Ave, Omaha NE 68137 DESCRIPTION: Assist coaches with Practice Plans, skill development and other items related to coaching Fastpitch Softball. Assist the organization with the recording of equipment that our teams use including check out and safety, assist coaches if having problems with parents, and various other items that goes a long with allowing our Recreational and Competitive select softball teams to play.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Daniel Vance'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
March 15, 2024 - Present
MIDWEST HERITAGE FINANCIAL ADVISORS
Office #1: 3580 Ep True Parkway, West Des Moines, IA 50265RIA
CRD#: 306308
West Des Moines, IA
Current
June 14, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 3580 Ep True Pkwy, West Des Moines, IA 50265RIA
BD
CRD#: 23131
WEST DES MOINES, IA
Past
March 22, 2024 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
WEST DES MOINES, IA
Past
March 6, 2023 - March 25, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
OMAHA, NE
Past
March 6, 2023 - March 25, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
OMAHA, NE
Past
March 9, 2022 - August 9, 2022
ALLY INVEST ADVISORS
RIA
CRD#: 170301
Omaha, NE
Past
June 4, 2021 - August 9, 2022
ALLY INVEST SECURITIES LLC
BD
CRD#: 136131
CHARLOTTE, NC
Past
June 18, 2015 - February 22, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
OMAHA, NE
Past
June 17, 2015 - February 22, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
OMAHA, NE
Past
June 2, 2010 - June 18, 2015
FIRST NATIONAL CAPITAL MARKETS
RIA
CRD#: 115920
OMAHA, NE
Past
June 1, 2010 - June 18, 2015
FIRST NATIONAL CAPITAL MARKETS
BD
CRD#: 115920
OMAHA, NE
Past
April 6, 2010 - June 2, 2010
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
OMAHA, NE
Past
March 26, 2010 - June 2, 2010
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
OMAHA, NE
Past
March 20, 2009 - April 5, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
OMAHA, NE
Past
March 16, 2009 - April 5, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
OMAHA, NE
Past
December 14, 2007 - January 20, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
OMAHA, NE
Past
November 12, 2007 - January 20, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
OMAHA, NE
Past
August 25, 2006 - November 12, 2007
PACIFIC SELECT DISTRIBUTORS, LLC
BD
CRD#: 4452
OMAHA, NE
Past
May 2, 2006 - June 23, 2006
SECURITIES AMERICA, INC.
BD
CRD#: 10205
NORTHGLENN, CO
Past
September 15, 2005 - February 22, 2006
PACIFIC SELECT DISTRIBUTORS, LLC
BD
CRD#: 4452
NEWPORT BEACH, CA
Past
March 26, 2003 - March 7, 2005
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
April 2, 2002 - March 27, 2003
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, 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".
MH
MIDWEST HERITAGE FINANCIAL ADVISORS
MIDWEST HERITAGE BANK, FSB | MIDWEST HERITAGE FINANCIAL ADVISORS
CRD#: 306308 / SEC#: 801-119038
RIA
Registered Investment Advisory firm - (7/10/2020 Approved)Iowa
Registered Investment Advisory firm - (9/22/2020 Terminated)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
IAR
Iowa(3/15/2024)
RR
Iowa(6/14/2024)
RR
Nebraska(6/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MH
MIDWEST HERITAGE FINANCIAL ADVISORS
MIDWEST HERITAGE BANK, FSB | MIDWEST HERITAGE FINANCIAL ADVISORS
CRD#: 306308 / SEC#: 801-119038
RIA
Registered Investment Advisory firm - (7/10/2020 Approved)Iowa
Registered Investment Advisory firm - (9/22/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3580 Ep True Parkway, West Des Moines, IA 50265
Mailing Address
Phone number
(515) 246-8378
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 571 |
| AUM (Assets Under Management) | $ 314,203,732 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MIDWEST HERITAGE FINANCIAL ADVISORS
CRD#: 306308West Des Moines, IA 50265TRUST BUT VERIFY
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