KD
Kevin M. Dietzel
NATIONS FINANCIAL GROUP
Dubuque, IA 52001
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CRD#: 5658540
KD
Professional summary
Kevin Michael Dietzel, CFP®, who also goes by Kevin Dietzel, is a registered financial advisor currently at NATIONS FINANCIAL GROUP, INC. located in Dubuque, Iowa.
Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Kevin has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin Dietzel
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.
CORE INVESTMENTS GROUP. 40 MAIN ST., SUITE 103 DUBUQUE, IA 52001. IS INVESTMENT RELATED. NATURE OF BUSINESS IS DBA OFFERING WEALTH MANAGEMENT. POSITION IS EMPLOYEE. STARTED 3/28/22. APPROX 160 HOURS SPENT ON BUSINESS PER MONTH WITH 160 DURING SECURITY TRADING HOURS. DUTIES ARE CLIENT SERVICE INCLUDING FINANCIAL PLANNING, INVESTMENT RESEARCH AND RECOMMENDATIONS, TRADING AND OTHER GENERAL OFFICE TASKS. // MOUNT PLEASANT HOME. 1695 MT. PLEASANT ST. DUBUQUE, IA 52001. NOT INVESTMENT RELATED. NATURE OF BUSINESS IS ASSISTED LIVING FACILITY. POSITION IS TRUSTEE. STARTED IN 2019. SPEND APPROX 1 HOUR/MONTH ON BUSINESS , WITH NONE DURING SECURITY TRADING HOURS. DUTIES ARE AS MEMBER OF BOARD OF TRUSTEES, OVERSEEING ENDOWMENT
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Michael Dietzel'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®
CFP®
Start date: 2019
Experience
Current
March 29, 2022 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 40 Main St. Suite 103, Dubuque, IA 52001RIA
BD
CRD#: 44181
Dubuque, IA
Past
March 20, 2017 - March 25, 2022
STEELE CAPITAL MANAGEMENT, INC.
RIA
CRD#: 107097
DUBUQUE, IA
Past
October 4, 2011 - March 21, 2017
GLOBAL PORTFOLIO STRATEGIES, INC.
RIA
CRD#: 105812
DUBUQUE, IA
Past
August 6, 2009 - March 21, 2017
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
DUBUQUE, 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".
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.Highlighted states indicate IAR registrations
IAR
Iowa(3/29/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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.
