SE
Scott T. Etzel
INDEPENDENT WEALTH NETWORK
Clear Lake, IA
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CRD#: 5505697
SE
Professional summary
Scott T Etzel, who also goes by Scott T Etzel Mr, is a registered financial advisor currently at INDEPENDENT WEALTH NETWORK, INC. located in Clear Lake, Iowa.
Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Scott has worked at 6 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott T Etzel Mr
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. IOWA FIRM FOUNDATION-non-investment-related-WAUKEE, IA-FUND EDUCATIONAL PROGRAMS-BOARD MEMBER/SECRETARY-03/2018-5 hrs monthly-0during trading-PARTICIPATE IN THE DIRECTION OF THE NON-PROFIT. 2. ETZEL FINANCIAL RESOURCES-INVESTMENT RELATED-WAUKEE, IA. FINANCIAL SERVICES-FINANCIAL ADVISOR-10/2012-200 hrs-120 during trading-DBA NAME FOR SECURITIES & INSURANCE BUSINESS. 3. 81st ST. CLIVE DUPLEX, LLC-non-investment related-WAUKEE, IA-REAL ESTATE-LANDLORD-03/2019-5 hrs monthly-0 during trading-LANDLORD DUTIES OF A DUPLEX. 4. UNITED FINANCIAL FREEDOM - non-investment related-WAUKEE, IA. INDEPENDENT REP-10/2020 - 5 hrs monthly-0 during trading hours - Refer people to a debt paydown program. 5. WAUKEE TOWNHOME RENTAL - non-investment realated - Waukee, IA - Real Estate - Landlord/Owner - 08/2022 - 5 hrs monthly - 0 during trading - Landlord duties for leasing townhome
CRS (Client Relationship Summary) - RIA
Click below to view Scott T Etzel'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
November 3, 2020 - Present
INDEPENDENT WEALTH NETWORK, INC.
RIA
CRD#: 286262
Clear Lake, IA
Past
September 25, 2018 - November 4, 2020
BFC PLANNING, INC.
RIA
CRD#: 119682
Waukee, IA
Past
September 21, 2018 - November 4, 2020
SECURITIES MANAGEMENT & RESEARCH, INC.
BD
CRD#: 759
WAUKEE, IA
Past
July 21, 2010 - September 24, 2018
INVESTMENT ADVISORS CORP
RIA
CRD#: 117531
WAUKEE, IA
Past
July 21, 2010 - September 24, 2018
BROKER DEALER FINANCIAL SERVICES CORP.
BD
CRD#: 8073
WAUKEE, IA
Past
July 3, 2008 - July 14, 2010
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WEST DES MOINES, IA
Past
May 12, 2008 - July 14, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WEST 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".
IW
INDEPENDENT WEALTH NETWORK, INC.
ANTHEM FINANCIAL PARTNERS | SUNBURST FINANCIAL MANAGEMENT | PREFERRED WEALTH MANAGEMENT LLC | POINDEXTER FINANCIAL GROUP | M.A.S.FINANCIAL AND TAX GROUP | LUCASIAN WEALTH MANAGEMENT | KRAMER WEALTH ADVISORY | KFA FINANCIAL | INDEPENDENT WEALTH NETWORK, INC. | INDEPENDENT WEALTH NETWORK GROUP | HOLT ADVISORY GROUP | GILCHRIST WEALTH MANAGEMENT | ETZEL FINANCIAL RESOURCES | DV FINANCIAL | CAPITAL INSURANCE & FINANCIAL SERVICES LLC | BEACON FINANCIAL SERVICES | ARCHER FINANCIAL PARTNERS
CRD#: 286262 / SEC#: 801-110559
RIA
Registered Investment Advisory firm - (6/1/2017 Approved)Ohio
Registered Investment Advisory firm - (8/26/2019 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.Highlighted states indicate IAR registrations
IAR
California(11/3/2020)
IAR
Colorado(8/25/2021)
IAR
Florida(5/25/2021)
IAR
Illinois(11/5/2020)
IAR
Iowa(11/3/2020)
IAR
Minnesota(3/30/2021)
IAR
Nevada(4/25/2024)
IAR
New York(2/9/2021)
IAR
North Dakota(1/17/2025)
IAR
Oklahoma(11/5/2020)
IAR
Texas(1/24/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/25/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
IW
INDEPENDENT WEALTH NETWORK, INC.
ANTHEM FINANCIAL PARTNERS | SUNBURST FINANCIAL MANAGEMENT | PREFERRED WEALTH MANAGEMENT LLC | POINDEXTER FINANCIAL GROUP | M.A.S.FINANCIAL AND TAX GROUP | LUCASIAN WEALTH MANAGEMENT | KRAMER WEALTH ADVISORY | KFA FINANCIAL | INDEPENDENT WEALTH NETWORK, INC. | INDEPENDENT WEALTH NETWORK GROUP | HOLT ADVISORY GROUP | GILCHRIST WEALTH MANAGEMENT | ETZEL FINANCIAL RESOURCES | DV FINANCIAL | CAPITAL INSURANCE & FINANCIAL SERVICES LLC | BEACON FINANCIAL SERVICES | ARCHER FINANCIAL PARTNERS
CRD#: 286262 / SEC#: 801-110559
RIA
Registered Investment Advisory firm - (6/1/2017 Approved)Ohio
Registered Investment Advisory firm - (8/26/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2350 Nw 128th St, Urbandale, IA 50323
Mailing Address
Phone number
(515) 461-5123
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (40 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,626 |
| AUM (Assets Under Management) | $ 422,577,169 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
