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 |