MM
Monica R. Mims
STRATEGIC ASSET MANAGEMENT LLC.
Iowa City, IA 52246
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CRD#: 7048561
MM
Professional summary
Monica Rae Mims is a registered financial advisor currently at STRATEGIC ASSET MANAGEMENT LLC. located in Iowa City, Iowa.
Monica is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Monica has worked at 2 firms 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.
1.) Landlord and Rental Property Owner - Properties are not investment related and I conduct business out of my home address. Rental business began 01/2016 and I spend 2 hours a month on this. 2.) MONICA MIMS INDEPENDENT INSURANCE - AGENT-IOWA CITY, IA - SINCE 4/2022 - INVESTMENT RELATED - 10 HRS DURING TRADING 3.) MIMS FINANCIAL SERVICES - VICE PRESIDENT - DBA FOR MARKETING PURPOSES ONLY - IOWA CITY, IA SINCE 02/2023 - INVESTMENT RELATED - SPENDS 100 HRS DURING TRADING HOURS. 4.) IOWA CITY COMMUNITY SCHOOL DISTRICT - ASST CROSS COUNTRY AND TRACK COACH - VOLUNTEER SINCE 01/2023 - NOT INVESTMENT RELATED - 0 HRS SPENT DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Monica Rae Mims'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
January 4, 2021 - Present
STRATEGIC ASSET MANAGEMENT LLC.
Office #1: 2346 Mormon Trek Blvd Suite 2700, Iowa City, IA 52246RIA
CRD#: 306384
Iowa City, IA
Past
January 7, 2020 - October 5, 2020
RDA FINANCIAL NETWORK
RIA
CRD#: 147309
CORALVILLE, 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".
SA
STRATEGIC ASSET MANAGEMENT LLC.
FINE WEALTH MANAGEMENT | STRATEGIC TAX & RETIREMENT | STRATEGIC INSURANCE GROUP | STRATEGIC ASSET MANAGEMENT LLC. | RIDGELINE FINANCIAL SERVICES | PLANNING WITH PURPOSE FOR REAL | MIMS FINANCIAL SERVICES
CRD#: 306384 / SEC#: 801-120401
RIA
Registered Investment Advisory firm - (2/26/2021 Approved)Iowa
Registered Investment Advisory firm - (3/1/2021 Terminated)Minnesota
Registered Investment Advisory firm - (3/11/2021 Terminated)Texas
Registered Investment Advisory firm - (6/8/2021 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(1/4/2021)
Current Firm
SA
STRATEGIC ASSET MANAGEMENT LLC.
FINE WEALTH MANAGEMENT | STRATEGIC TAX & RETIREMENT | STRATEGIC INSURANCE GROUP | STRATEGIC ASSET MANAGEMENT LLC. | RIDGELINE FINANCIAL SERVICES | PLANNING WITH PURPOSE FOR REAL | MIMS FINANCIAL SERVICES
CRD#: 306384 / SEC#: 801-120401
RIA
Registered Investment Advisory firm - (2/26/2021 Approved)Iowa
Registered Investment Advisory firm - (3/1/2021 Terminated)Minnesota
Registered Investment Advisory firm - (3/11/2021 Terminated)Texas
Registered Investment Advisory firm - (6/8/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2434 Superior Drive Nw Suite 101, Rochester, MN 55901
Mailing Address
Phone number
(888) 526-8755
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 633 |
| AUM (Assets Under Management) | $ 124,399,526 |
Red Flags
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Company Information
STRATEGIC ASSET MANAGEMENT LLC.
CRD#: 306384Iowa City, IA 52246TRUST BUT VERIFY
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