NA
Nicole L. Alexander-duvall
MWA FINANCIAL SERVICES
Maumee, OH 43537
Some features on this profile are disabled
CRD#: 4587370
NA
Professional summary
Nicole Lou Alexander-duvall, who also goes by Nicole L Alexander, Nicole L. Alexander, Nicole L Alexander-duvall, Nicole L Tresize, is a registered financial professional currently at MWA FINANCIAL SERVICES INC. located in Maumee, Ohio.
Nicole is registered as a RR (Registered Representative) and started their career in finance in 2004. Nicole has worked at 5 firms and has passed the Series 66, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nicole L Alexander | Nicole L. Alexander | Nicole L Alexander-Duvall | Nicole L Tresize
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)Jorns & Associates CPA noninv Maumee OH CPA business 12/2022 20noninv 0inv referral agent assisting with qualifying for ERTC 2)Yolo Epic Adventures/Inteletravel noninv Toledo OH Owner 10/2021 Trip/vacation assistance.
CRS (Client Relationship Summary) - BD
Click below to view Nicole Lou Alexander-duvall'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
June 20, 2025 - Present
MWA FINANCIAL SERVICES INC.
Office #1: 110 E Dudley St., Maumee, OH 43537RIA
BD
CRD#: 112630
Maumee, OH
Past
September 14, 2023 - December 26, 2024
MWA FINANCIAL SERVICES INC.
RIA
CRD#: 112630
MAUMEE, OH
Past
September 14, 2023 - December 26, 2024
MWA FINANCIAL SERVICES INC.
BD
CRD#: 112630
MAUMEE, OH
Past
July 15, 2015 - April 22, 2021
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
TOLEDO, OH
Past
July 14, 2015 - April 22, 2021
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
TOLEDO, OH
Past
May 7, 2015 - June 26, 2015
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
TOLEDO, OH
Past
May 7, 2015 - June 26, 2015
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
TOLEDO, OH
Past
April 20, 2010 - April 1, 2015
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
TOLEDO, OH
Past
April 1, 2010 - April 1, 2015
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
TOLEDO, OH
Past
December 5, 2006 - January 2, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
TOLEDO, OH
Past
October 30, 2006 - January 2, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
TOLEDO, OH
Past
October 13, 2004 - September 14, 2006
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
TOLEDO, OH
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".
MF
MWA FINANCIAL SERVICES INC.
MWA FINANCIAL SERVICES INC. | MWA FINANCIAL SERVICES, INC.
CRD#: 112630 / SEC#: 801-107091, 8-53255
RIA
Registered Investment Advisory firm - SEC (1/4/2016 Approved)Alabama
Registered Investment Advisory firm - SEC (4/11/2016 Terminated)Arizona
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)California
Registered Investment Advisory firm - SEC (1/3/2010 Terminated)Colorado
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (1/26/2016 Terminated)Georgia
Registered Investment Advisory firm - SEC (2/12/2016 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/1/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)Indiana
Registered Investment Advisory firm - SEC (1/29/2016 Terminated)Iowa
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)Kansas
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Louisiana
Registered Investment Advisory firm - SEC (12/18/2013 Terminated)Maine
Registered Investment Advisory firm - SEC (2/2/2016 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/31/2015 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Michigan
Registered Investment Advisory firm - SEC (2/2/2016 Terminated)Minnesota
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Mississippi
Registered Investment Advisory firm - SEC (12/13/2013 Terminated)Nebraska
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/13/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (12/12/2013 Terminated)South Dakota
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)Tennessee
Registered Investment Advisory firm - SEC (3/29/2016 Terminated)Texas
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (1/21/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago 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
Arizona(9/2/2025)
RR
Ohio(8/27/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/26/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 5/26/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MF
MWA FINANCIAL SERVICES INC.
MWA FINANCIAL SERVICES INC. | MWA FINANCIAL SERVICES, INC.
CRD#: 112630 / SEC#: 801-107091, 8-53255
RIA
Registered Investment Advisory firm - SEC (1/4/2016 Approved)Alabama
Registered Investment Advisory firm - SEC (4/11/2016 Terminated)Arizona
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)California
Registered Investment Advisory firm - SEC (1/3/2010 Terminated)Colorado
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)Florida
Registered Investment Advisory firm - SEC (1/26/2016 Terminated)Georgia
Registered Investment Advisory firm - SEC (2/12/2016 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/1/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)Indiana
Registered Investment Advisory firm - SEC (1/29/2016 Terminated)Iowa
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)Kansas
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Louisiana
Registered Investment Advisory firm - SEC (12/18/2013 Terminated)Maine
Registered Investment Advisory firm - SEC (2/2/2016 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/31/2015 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Michigan
Registered Investment Advisory firm - SEC (2/2/2016 Terminated)Minnesota
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Mississippi
Registered Investment Advisory firm - SEC (12/13/2013 Terminated)Nebraska
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/13/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Ohio
Registered Investment Advisory firm - SEC (1/28/2016 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (12/12/2013 Terminated)South Dakota
Registered Investment Advisory firm - SEC (1/20/2016 Terminated)Tennessee
Registered Investment Advisory firm - SEC (3/29/2016 Terminated)Texas
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Virginia
Registered Investment Advisory firm - SEC (1/27/2016 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (1/21/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
1701 1st Avenue, Rock Island, IL 61201
Mailing Address
1701 1st Avenue, Rock Island, IL 61201
Phone number
(309) 558-3100
Established
Illinois since 02/02/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
674
SEC notice filing (48 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MODERN WOODMEN OF AMERICA | PARENT CO. | |
| BOHNERT, LESTER LEE | DIRECTOR | 6933862 |
| DOYLE, SHEA EUGENE | SECRETARY/DIRECTOR | 4577202 |
| EIGENBROD, NEIL THOMAS | FINOP | 5615693 |
| JENSEN, DAWN M | CHIEF OPERATIONS OFFICER | 4936560 |
| LYPHOUT, JERALD JAMES | DIRECTOR | 4148959 |
| POGEMILLER, CLINT JOSEPH | PRESIDENT/CHAIRMAN | 2977743 |
| RECH, KELLIE MARIE | CHIEF COMPLIANCE OFFICER | 4863283 |
| SIMMS, CHARLES EDMUND | DIRECTOR | 2553306 |
| SWANSON, TODD DAVID | TREASURER | 4844282 |
| VAN, BRETT MATTHEW | DIRECTOR | 6543047 |
Regulatory assets under management
| Total Number of Accounts | 2,298 |
| AUM (Assets Under Management) | $ 376,859,066 |
Disclosures
| Regulatory Event | 1 |
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
MWA FINANCIAL SERVICES INC.
CRD#: 112630Maumee, OH 43537TRUST BUT VERIFY
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