Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
20062008201020122014201620182020202220242026IARISE FINANCIAL PARTNERS (CRD# 305637)2023 - Present (1 year)BMUTUAL OF OMAHA INVESTOR SERVI... (CRD# 611)2006 - 2017 (11 years)IAWR WEALTH PLANNERS LLC (CRD# 306951)2023 - 2023 (<1 year)IAWEALTH PLANNING AND DESIGN LLC (CRD# 281982)2021 - 2023 (1 year)IAWEALTH PLANNING AND DESIGN LLC (CRD# 281982)2019 - 2019 (<1 year)IALEGACY FINANCIAL ADVISORS, INC. (CRD# 158675)2018 - 2019 (<1 year)
Disclosure(s)
View By:
9/6/2017
Employment Separation After Allegations
License(s)

State Registrations

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Florida 6/19/2023
Current Registration(s)
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RISE FINANCIAL PARTNERS (CRD#:305637)
Sarasota, FL
Registered with this firm since 6/19/2023
Previous Registration(s)
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 04/12/2023 - 06/14/2023 WR WEALTH PLANNERS LLC (CRD#:306951) SARASOTA, FL
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 12/08/2021 - 05/22/2023 WEALTH PLANNING AND DESIGN LLC (CRD#:281982) SARASOTA, FL
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 07/09/2019 - 12/12/2019 WEALTH PLANNING AND DESIGN LLC (CRD#:281982) SARASOTA, FL
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 12/05/2018 - 06/11/2019 LEGACY FINANCIAL ADVISORS, INC. (CRD#:158675) SARASOTA, FL
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 03/06/2006 - 09/08/2017 MUTUAL OF OMAHA INVESTOR SERVICES, INC. (CRD#:611) FORT MYERS, FL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.