Chad P. Docken

PROFESSIONAL RETIREMENT STRATEGIES LLC

Omaha, NE 68144-5576

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CRD#: 6600665

Professional summary

Chad Parker Docken is a registered financial advisor currently at PROFESSIONAL RETIREMENT STRATEGIES LLC located in Omaha, Nebraska.

Chad is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Chad has worked at 3 firms and has passed the Series 66, SIE and Series 7 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.

Chad Docken 3DForgeZ, Owner, Non-Investment Related, Costume Prop Shop, 09/2019 - Present, 10/Hours Per Month with 0 during Trading hours. 14923 Polk Street, Omaha, NE 68137.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chad Parker Docken'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®

None

Experience

Current

April 6, 2017 - Present

PROFESSIONAL RETIREMENT STRATEGIES LLC

Office #1: 3925 S. 147th Street Suite 115, Omaha, NE 68144-5576

RIA

CRD#: 287808

Omaha, NE

Past

January 9, 2017 - April 21, 2017

HEARTLAND FINANCIAL ADVISORS, LLC

RIA

CRD#: 167799

OMAHA, NE

Past

August 4, 2016 - November 22, 2017

GRADIENT SECURITIES, LLC

CRD#: 127701

OMAHA, NE

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

Colorado
(6/28/2021)

IAR

Iowa
(4/6/2017)

IAR

Missouri
(8/7/2017)

IAR

Nebraska
(4/24/2017)

IAR

Texas
(8/31/2017)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/13/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 11/22/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/4/2016

General Securities Representative Examination

Current Firm

PROFESSIONAL RETIREMENT STRATEGIES LLC

CRD#: 287808 / SEC#:

Colorado

Registered Investment Advisory firm - (6/28/2021 Approved)

Iowa

Registered Investment Advisory firm - (4/6/2017 Approved)

Missouri

Registered Investment Advisory firm - (8/4/2017 Approved)

Nebraska

Registered Investment Advisory firm - (3/27/2017 Approved)

Texas

Registered Investment Advisory firm - (8/31/2017 Approved)

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Contact information

Main Address

3925 S. 147th Street Suite 115, Omaha, NE 68144-5576

Mailing Address

Phone number

(402) 305-5165

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	265
AUM (Assets Under Management)	$ 33,024,000

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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Chad P. Docken

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chad Parker Docken's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROFESSIONAL RETIREMENT STRATEGIES LLC

HEARTLAND FINANCIAL ADVISORS, LLC

GRADIENT SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/13/2016

SIE

Date: 11/22/2017

Series 7

Date: 8/4/2016

Current Firm

PROFESSIONAL RETIREMENT STRATEGIES LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PROFESSIONAL RETIREMENT STRATEGIES LLC

TRUST BUT VERIFY

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