MWA FINANCIAL SERVICES, INC. of ROCK ISLAND, IL is an SEC-registered investment adviser (CRD 112630). Regulatory assets under management: $640.0M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
| Name | Role | Location |
|---|---|---|
| Todd David Swanson | TREASURER | — |
| Jerald James Lyphout | DIRECTOR | — |
| Clint Joseph Pogemiller | PRESIDENT/CHAIRMAN | — |
| Brett Matthew Van | DIRECTOR | — |
| Lester Lee Bohnert | DIRECTOR | — |
| Kellie Marie Rech | CHIEF COMPLIANCE OFFICER | — |
| Dawn M Jensen | CHIEF OPERATIONS OFFICER | — |
| Neil Thomas Eigenbrod | FINOP | — |
| Shea Eugene Doyle | SECRETARY/DIRECTOR | — |
| SWANSON BRUCE DAVID | TREASURER | — |
| VAN KIRK MATTHEW | DIRECTOR | — |
| FRITZ PAMELA SUE | CHIEF COMPLIANCE OFFICER | — |
| MASSEY WILLIAM KENNETH | DIRECTOR | — |
| CALLAS DARCY ANN | DIRECTOR | — |
| TSCHOPP TYLER NICHOLAS | FINOP | — |
| LYPHOUT JERALD JAMES | DIRECTOR; SECRETARY/DIRECTOR | — |
| POGEMILLER CLINT JOSEPH | PRESIDENT/CHAIRMAN | — |
| BOHNERT LESTER LEE | DIRECTOR | — |
| BOWMAN AMBER MARIE | CHIEF COMPLIANCE OFFICER | — |
| JENSEN DAWN M | CHIEF OPERATIONS OFFICER | — |
| SOWARDS JEFFREY NEIL | DIRECTOR | — |
| EIGENBROD NEIL THOMAS | FINOP | — |
| RECH KELLIE MARIE | CHIEF COMPLIANCE OFFICER | — |
| DOYLE SHEA EUGENE | SECRETARY/DIRECTOR | — |
| Charles Edmund Simms | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2016-01-27 | regulatory | THE MO SECURITIES DIVISION ALLEGED THAT RR VOLKERDING ENGAGED IN DISHONEST AND UNETHICAL PRACTICES WHEN HE RECOMMENDED THE LIQUIDATION OF THE ACCOUNT TO FUND A MODERN WOODMEN FIXED ANNUITY, ALLEGING THE APPLICATION FOR THE ANNUITY WAS COMPLETED WITHOUT SUFFICIENTLY DETERMINING WHAT THE INVESTOR'S NE… | Final | $10K |
| 2016-01-27 | regulatory | THE MISSOURI SECURITIES DIVISION ALLEGED THAT REGISTERED REPRESENTATIVE KENNETH E. VOLKERDING ENGAGED IN DISHONEST AND UNETHICAL PRACTICES WHEN HE RECOMMENDED THE LIQUIDATION OF THE ACCOUNT TO FUND A MODERN WOODMEN FIXED ANNUITY, ALLEGING THE APPLICATION FOR THE ANNUITY WAS COMPLETED WITHOUT SUFFICI… | Final | $10K |
Showing 15 of 25 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| LAGUNA HILLS | CA | 7 | 949-716-5156 |
| MANSFIELD | OH | 4 | 419-565-3541 |
| ONTARIO | CA | 4 | 760-851-4873 |
| CULVER CITY | CA | 3 | 323-359-6866 |
| MAUMEE | OH | 3 | 419-891-1883 |
| DENTON | TX | 3 | 940-382-5676 |
| PHOENIX | AZ | 2 | 719-337-8792 |
| LEXINGTON | KY | 2 | (859) 286-7733 |
| MILWAUKEE | WI | 2 | 414-727-8808 |
| BROOKFIELD | WI | 2 | 262-373-9135 |
| GRAND RAPIDS | MI | 2 | 616-369-2944 |
| LANSING | MI | 2 | 518-393-3800 |
| EDWARDSBURG | MI | 2 | 269-699-2006 |
| COLUMBUS | OH | 2 | 614-900-0356 |
| CONWAY | AR | 2 | 870-213-6224 |