RD
Rodney L. Duroe
FSB PREMIER WEALTH MANAGEMENT
Waterloo, IA 50701
Some features on this profile are disabled
CRD#: 5622217
RD
Professional summary
Rodney Lawrence Duroe is a registered financial advisor currently at FSB PREMIER WEALTH MANAGEMENT, INC. located in Waterloo, Iowa.
Rodney is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Rodney has worked at 1 firm and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 27 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.
DIRECTOR OF FSB FINANCIAL SERVICES, HOLDING COMPANY, SINCE 2000. DEVOTES APPROXIMATELY 2 HOURS PER MONTH. MAIN DUTY IS GENERAL OVERSIGHT. DIRECTOR, CEO, AND CASHIER OF FARMERS STATE BANK, SINCE 2010. DEVOTES APPROXIMATELY 150 HOURS PER MONTH. PRESIDENT OF CEDAR VALLEY VENTURE FUND. DEVOTES APPROXIMATELY 4 HOURS PER MONTH. VP & DIRECTOR OF DUROE FAMILY FOUNDATION. DEVOTES APPROXIMATELY 1 HOUR PER MONTH DURING SECURITIES TRADING HOURS. DUSTY RHODES, LLC; TITLE: CO-OWNER (50%) NON-INVESTMENT RELATED; ADDRESS: 1534 OLYMPIC DR., WATERLOO, IOWA 50701 RENTAL REAL ESTATE HOLDING COMPANY; START DATE: 2/25/2021; # OF HOURS DEVOTED PER MONTH: 12, 5 HOURS DURING TRADING HOURS. DUTIES: MANAGE ALL PROPERTIES, INCLUDING PROPERTY SHOWINGS, TENANT SCREENING, LEASING PROCESS, MOVE IN - MOVE OUT PROCESS, TAKE ALL MAINTENANCE CALLS, LINE UP CONTRACTORS FOR WORK PERFORMED, HANDLE THE BANKING TRANSACTIONS AND THE ACCOUNTING FOR THE CO AND SEEK OUT INVESTMENT OPTIONS. Boca Norte, LLC; Title: Co-Owner (50%) Non-investment related; Address: 131 Tower Park Drive, Ste 100, Waterloo, IA 50701; Real Estate holding Company; Start 7/16/2019; # of hours per month: 1, 0 hours during trading hours; Duties: Managing Member
CRS (Client Relationship Summary) - RIA
Click below to view Rodney Lawrence Duroe's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rodney Lawrence Duroe'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
February 17, 2009 - Present
FSB PREMIER WEALTH MANAGEMENT, INC.
Office #1: 131 Tower Park Drive Suite 115, Waterloo, IA 50701RIA
BD
CRD#: 15898
Waterloo, IA
Current
December 19, 2008 - Present
FSB PREMIER WEALTH MANAGEMENT, INC.
Office #1: 131 Tower Park Drive Suite 115, Waterloo, IA 50701RIA
BD
CRD#: 15898
Waterloo, 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".
FP
FSB PREMIER WEALTH MANAGEMENT, INC.
FIRST NEBRASKA INVESTORS, INC. | WARNER GROUP, INC. | WARNER GROUP, INC | THE WARNER GROUP, INC. | FSB WARNER FINANCIAL, INC. | FSB WARNER FINANCIAL, INC | FSB PREMIER WEALTH MANAGEMENT, INC.
CRD#: 15898 / SEC#: 801-111084, 8-44865
RIA
Registered Investment Advisory firm - SEC (9/1/2017 Approved)Iowa
Registered Investment Advisory firm - SEC (2/9/2018 Terminated)Nebraska
Registered Investment Advisory firm - SEC (2/9/2018 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/17/2011 Terminated)South Dakota
Registered Investment Advisory firm - SEC (1/27/2017 Terminated)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
IAR
Iowa(2/17/2009)
RR
Iowa(2/18/2009)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FP
FSB PREMIER WEALTH MANAGEMENT, INC.
FIRST NEBRASKA INVESTORS, INC. | WARNER GROUP, INC. | WARNER GROUP, INC | THE WARNER GROUP, INC. | FSB WARNER FINANCIAL, INC. | FSB WARNER FINANCIAL, INC | FSB PREMIER WEALTH MANAGEMENT, INC.
CRD#: 15898 / SEC#: 801-111084, 8-44865
RIA
Registered Investment Advisory firm - SEC (9/1/2017 Approved)Iowa
Registered Investment Advisory firm - SEC (2/9/2018 Terminated)Nebraska
Registered Investment Advisory firm - SEC (2/9/2018 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/17/2011 Terminated)South Dakota
Registered Investment Advisory firm - SEC (1/27/2017 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
131 Tower Park Drive Suite 115, Waterloo, IA 50701
Mailing Address
131 Tower Park Drive Suite 115, Waterloo, IA 50701
Phone number
(319) 235-6561
Established
Nebraska since 05/08/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
14
SEC notice filing (13 States and Territories)
FINRA licenses (5 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,751 |
| AUM (Assets Under Management) | $ 346,694,879 |
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.
