RB
Richard S. Bennett
NATIONS FINANCIAL GROUP
Cedar Rapids, IA 52411
Some features on this profile are disabled
CRD#: 858716
RB
Professional summary
Richard Scott Bennett, who also goes by Scott Bennett, is a registered financial advisor currently at NATIONS FINANCIAL GROUP, INC. located in Cedar Rapids, Iowa.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Richard has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, Series 52TO, SIE, Series 3, Series 7, Series 53, Series 4, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott Bennett
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.
INSURANCE AGENT. IS INVESTMENT RELATED. 3925 FOUNTAINS BLVD. NE, SUITE 200 CEDAR RAPIDS, IA 52411, LIFE, NO TIME SPEND DURING TRADING HOURS// AAVIN MEZZANINE FUND LLP. INVESTMENT RELATED. 118 3RD AVE. SE #630. CEDAR RAPIDS, IA 52401. NATURE OF BUSINESS IS TO MANAGE PRIVATE SBA MEZZANINE FUND. POSITION IS MEMBER OF VALUATION BOARD TO FUND MANAGERS. START 10-1-15. APPROX 12 hrs/YEAR, 12 HRS DURING SECURITY TRADING HRS. DUTIES ARE TO EVALUATE THE VALUATION POLICIES OF THE FUND // Kids First. 420 6th St., Ste 160 Cedar Rapids, IA 52401. Not investment related. Nature of business is to support kids rightS in legal and divorce matters. Position is Board of Directors. Started 7-20-18. Approx 2 hrs/month during security trading hrs. Duties are as director on board. // NATIONS FINANCIAL ADVISORS. LLC. 3925 FOUNTAINS BLVD. NE, SUITE 200 CEDAR RAPIDS, IA 52411. IS INVESTMENT RELATED. NATURE OF BUSINESS IS LLC OWNED BY NFGI HOLDING. POSITION IS PRESIDENT. STARTED 3/13/13. NO HOURS SPENT ON BUSINESS. NO CURRENT ACTIVITY.// NFGI HOLDING CORP. 3925 FOUNTAINS BLVD. NE, SUITE 200 CEDAR RAPIDS, IA 52411. IS INVESTMENT RELATED. NATURE OF BUSINESS IS HOLDING CORP. POSITION IS PRESIDENT. STARTED 11/26/13. APPRX 5 HRS/MONTH SPENT ON BUSINESS, ALL DURING SECURTY TRADING HRS. DUTIES ARE AS HOLDING COMPANY
CRS (Client Relationship Summary) - RIA
Click below to view Richard Scott Bennett's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Scott Bennett'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
July 13, 2000 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411Office #2: 3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411RIA
BD
CRD#: 44181
Cedar Rapids, IA
Current
February 3, 1998 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411Office #2: 3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411RIA
BD
CRD#: 44181
Cedar Rapids, IA
Past
January 7, 1997 - February 4, 1998
THE ADVISORS GROUP, INC.
BD
CRD#: 14035
BETHESDA, MD
Past
April 3, 1989 - December 31, 1996
AEGON USA SECURITIES INC.
BD
CRD#: 13302
CEDAR RAPIDS, IA
Past
August 22, 1983 - April 28, 1989
PERPETUAL INVESTMENT ASSOCIATES
BD
CRD#: 13593
Past
January 4, 1979 - June 30, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
Past
November 1, 1978 - February 2, 1979
SECURITIES CORPORATION OF IOWA
BD
CRD#: 6945
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
Alabama(12/19/2000)
RR
California(6/27/2007)
RR
Colorado(1/13/2004)
RR
Florida(9/5/2006)
RR
Hawaii(6/3/2020)
RR
Iowa(2/5/1998)
IAR
Iowa(7/13/2000)
RR
Michigan(1/14/2002)
RR
Minnesota(12/17/2002)
RR
New Jersey(9/14/2005)
RR
New Mexico(6/4/2020)
RR
New York(10/21/2003)
RR
North Carolina(6/2/2020)
RR
North Dakota(6/2/2020)
RR
Ohio(3/6/2001)
RR
Oklahoma(12/5/2000)
RR
Pennsylvania(9/19/2019)
RR
Texas(2/20/2001)
RR
Vermont(11/1/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
