SM
Sawyer Marquardt
NATIONS FINANCIAL GROUP
Dubuque, IA 52001
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CRD#: 7240636
SM
Professional summary
Sawyer Marquardt is a registered financial advisor currently at NATIONS FINANCIAL GROUP, INC. located in Dubuque, Iowa.
Sawyer is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Sawyer has worked at 1 firm and has passed the Series 66, Series 7TO and SIE 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.
Core Investments Group. it is investment related. 40 Main St Suite 103, Dubuque, IA 52001. Nature of business is DBA offering wealth management. Position is employee, Start date: 6/1/2021, 160 hours per month devote to other business, 8 hours per day during securities trading hours. Duties are client service, investment research
CRS (Client Relationship Summary) - RIA
Click below to view Sawyer Marquardt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sawyer Marquardt'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 3, 2022 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 40 Main St. Suite 103, Dubuque, IA 52001RIA
BD
CRD#: 44181
Dubuque, IA
Current
August 20, 2021 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 40 Main St. Suite 103, Dubuque, IA 52001RIA
BD
CRD#: 44181
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.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
RR
Illinois(1/3/2023)
RR
Iowa(1/3/2022)
IAR
Iowa(1/3/2022)
RR
Missouri(6/6/2023)
RR
Ohio(5/23/2025)
RR
Wisconsin(1/3/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/20/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
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.
