KW
Kyle D. Winter
NATIONS FINANCIAL GROUP
Waterloo, IA 50702
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CRD#: 4600204
KW
Professional summary
Kyle David Winter is a registered financial advisor currently at NATIONS FINANCIAL GROUP, INC. located in Waterloo, Iowa.
Kyle is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Kyle has worked at 4 firms and has passed the 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.
UNITED LIFE INSURANCE. 200 1ST ST. SE SUITE 1300 CEDAR RAPIDS, IA 52401. IS INVESTMENT-RELATED. NATURE OF BUSINESS IS LIFE AND FIXED ANNUITY SALES. POSITION IS FINANCIAL ADVISOR. STARTED 4/25/23. APPROX 10 HOURS PER MONTH, OF WHICH 10 HOURS IS DURING SECURITIES TRADING HOURS. DUTIES INCLUDE SELLING LIFE INSURANCE AND FIXED ANNUITY PRODUCTS// BANKIOWA. LOCATED AT 3222 KIMBALL AVE., SUITE A. WATERLOO, IA 50702. IS INVESTMENT RELATED. NATURE OF BUSINESS IS BANKING AND INVESTMENT RELATED BUSINESS. POSITION IS AN FINANCIAL ADVISOR. STARTED 2/54/2007. APPROX 3 HOURS PER MONTH, OF WHICH 3 HOURS ARE DURING TRADING HOURS.�DUTIES INCLUDE INVESTMENT SERVICES.// KW PHOTOGRAPHY. LOCATED AT 1264 MAIN ST. JESUP, IA 50648. IS NOT INVESTMENT RELATED. NATURE OF BUSINESS IS PHOTOGRAPHY. POSITION IS OWNER. START DATE IS 06/14/2025. APPROX 10 HOURS PER MONTH. APPROX 0 HOURS PER MONTH DURING TRADING HOURS. DUTIES INCLUDE PHOTOGRAPHER.
CRS (Client Relationship Summary) - RIA
Click below to view Kyle David Winter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kyle David Winter'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
October 11, 2016 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 3222 Kimball Ave. Suite A, Waterloo, IA 50702RIA
BD
CRD#: 44181
Waterloo, IA
Current
October 11, 2016 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 3222 Kimball Ave. Suite A, Waterloo, IA 50702RIA
BD
CRD#: 44181
Waterloo, IA
Past
February 2, 2007 - October 11, 2016
WINTRUST INVESTMENTS LLC
RIA
CRD#: 875
WATERLOO, IA
Past
February 2, 2007 - October 11, 2016
WINTRUST INVESTMENTS LLC
BD
CRD#: 875
WATERLOO, IA
Past
September 24, 2004 - January 30, 2007
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
WAVERLY, IA
Past
September 24, 2004 - January 30, 2007
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
WAVERLY, IA
Past
November 18, 2002 - June 22, 2004
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
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".
NF
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)BD
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.
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
RR
Arizona(10/11/2016)
RR
California(10/11/2016)
RR
Colorado(10/11/2016)
RR
Florida(10/11/2016)
RR
Georgia(10/11/2016)
RR
Idaho(10/11/2016)
RR
Illinois(7/16/2019)
RR
Iowa(10/11/2016)
IAR
Iowa(10/11/2016)
RR
Kansas(10/8/2020)
RR
Louisiana(6/26/2025)
RR
Minnesota(10/11/2016)
RR
Missouri(5/12/2022)
RR
Nebraska(2/24/2020)
RR
Nevada(7/16/2021)
RR
Oregon(7/31/2019)
RR
Texas(9/28/2018)
RR
Wisconsin(5/23/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NF
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)BD
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
87
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
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 | ||
| 09/26/2024 | ||
| 11/22/2023 | ||
| 12/28/2022 |
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
NATIONS FINANCIAL GROUP, INC.
CRD#: 44181Waterloo, IA 50702TRUST BUT VERIFY
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