Brandon C. Rude

OSAIC WEALTH

WAUKON, IA 52172

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CRD#: 5348601

Professional summary

Brandon Charles Rude is a registered financial advisor currently at OSAIC WEALTH, INC. located in Waukon, Iowa.

Brandon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Brandon has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.

***Kerndt Brothers Bank Wealth Management Services - DBA ***DBA - Rude's Investment & Insurance Center ***KERNDT BROTHERS BANK WEALTH MANAGEMENT POSITION: Financial Advisor NATURE: Employment as a Financial Advisor under a Financial Institution (Kerndt Brothers Savings Bank) which is affiliated with Securities America. The "DBA" is Kerndt Brothers Bank Wealth Management. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 06/01/2023 ADDRESS: 370 Main Street, Lansing IA 52151, United States DESCRIPTION: Sales and servicing of both commission based and fee-based securities related products and accounts. ***SECURITIES AMERICA ADVISORS POSITION: Financial Advisor NATURE: SECURITIES AMERICA ADVISORS - POSITION: IAR - NATURE: INVESTMENT ADVISORY SERVICES - INVESTMENT RELATED: YES - START DATE: 5/2016 - ADDRESS: 801 801 S. MECHANIC ST, DECORAH IA 52101 INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 25 START DATE: 05/01/2016 DESCRIPTION: Conducting Financial Advisory, planning and asset management services for clients. KERNDT BROTHERS BANK WEALTH MANAGEMENT INSURANCE POSITION: Financial Advisor NATURE: Insurance sales (Fixed & Variable) through Osaic approved vendors & Highland Capital Brokerage. Conducted through my employment with Kerndt Brothers Bank Wealth Management. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 40 START DATE: 06/01/2023 ADDRESS: 801 S. Mechanic Street, Decorah IA 52101, United States DESCRIPTION: Conduct Sales and Servicing of Insurance related contracts and clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brandon Charles Rude's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Brandon Charles Rude'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 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 820 11th Ave Sw, Waukon, IA 52172Office #2: 801 S. Mechanic Street, Decorah, IA 52101Office #3: 205 N Vine St, West Union, IA 52175Office #4: 370 Main St, Lansing, IA 52151Office #5: 200 Mill Street , Clermont, IA 52135Office #6: 600 Boyson Road Ne , Cedar Rapids, IA 52402

RIA

CRD#: 23131

WAUKON, IA

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

RIA

CRD#: 23131

WAUKON, IA

Past

May 5, 2016 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

DECORAH, IA

Past

May 4, 2011 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

DECORAH, IA

Past

October 19, 2009 - November 3, 2009

SECURITIES AMERICA, INC.

CRD#: 10205

DECORAH, 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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver 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.

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

Arizona
(6/14/2024)

Arkansas
(11/20/2024)

California
(6/14/2024)

District of Columbia
(6/14/2024)

Florida
(6/14/2024)

Georgia
(6/14/2024)

Idaho
(4/30/2025)

Illinois
(6/14/2024)

Indiana
(6/14/2024)

Iowa
(6/14/2024)

IAR

Iowa
(6/14/2024)

Michigan
(6/14/2024)

Minnesota
(6/14/2024)

Missouri
(6/14/2024)

Montana
(6/14/2024)

New Mexico
(6/14/2024)

Ohio
(6/14/2024)

South Dakota
(6/14/2024)

Texas
(6/14/2024)

IAR

Texas
(9/26/2024)

Wisconsin
(6/14/2024)

Wyoming
(6/14/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/31/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/16/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/21/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/16/2009

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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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Firm Stability Insights

Brandon C. Rude

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brandon Charles Rude's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Brandon Charles Rude's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

SECURITIES AMERICA, INC.

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/31/2016

Series 63

Date: 10/16/2009

SIE

Date: 10/1/2018

Series 7

Date: 3/21/2016

Series 6

Date: 10/16/2009

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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