RM
Rebecca C. Mcginnis
NORTHWEST WEALTH MANAGEMENT
LE MARS, IA 51031
Some features on this profile are disabled
CRD#: 5638281
RM
Professional summary
Rebecca C Mcginnis MS is a registered financial advisor currently at NORTHWEST WEALTH MANAGEMENT, LLC located in Le Mars, Iowa.
Rebecca is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Rebecca has worked at 1 firm and has passed the Series 65 exam.
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Rebecca C Mcginnis MS'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
September 16, 2016 - Present
NORTHWEST WEALTH MANAGEMENT, LLC
Office #1: 111 Central Avenue Nw, Le Mars, IA 51031RIA
CRD#: 152816
LE MARS, 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".
NW
NORTHWEST WEALTH MANAGEMENT, LLC
NORTHWEST WEALTH MANAGEMENT, LLC
CRD#: 152816 / SEC#: 801-72545
RIA
Registered Investment Advisory firm - (7/5/2011 Approved)Indiana
Registered Investment Advisory firm - (7/12/2011 Terminated)Iowa
Registered Investment Advisory firm - (7/18/2011 Terminated)Nebraska
Registered Investment Advisory firm - (8/31/2011 Terminated)South Dakota
Registered Investment Advisory firm - (7/12/2011 Terminated)Texas
Registered Investment Advisory firm - (7/12/2011 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
Iowa(9/16/2016)
Current Firm
NW
NORTHWEST WEALTH MANAGEMENT, LLC
NORTHWEST WEALTH MANAGEMENT, LLC
CRD#: 152816 / SEC#: 801-72545
RIA
Registered Investment Advisory firm - (7/5/2011 Approved)Indiana
Registered Investment Advisory firm - (7/12/2011 Terminated)Iowa
Registered Investment Advisory firm - (7/18/2011 Terminated)Nebraska
Registered Investment Advisory firm - (8/31/2011 Terminated)South Dakota
Registered Investment Advisory firm - (7/12/2011 Terminated)Texas
Registered Investment Advisory firm - (7/12/2011 Terminated)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
1607 W. 18th Street, Spencer, IA 51301
Mailing Address
Phone number
(877) 207-0994
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,063 |
| AUM (Assets Under Management) | $ 865,221,987 |
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.
