Chief Compliance Officer

0001376474-16-000839.txt : 20160906 0001376474-16-000839.hdr.sgml : 20160906 20160906140149 ACCESSION NUMBER: 0001376474-16-000839 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 FILED AS OF DATE: 20160906 DATE AS OF CHANGE: 20160906 EFFECTIVENESS DATE: 20160906 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NATIONS FINANCIAL GROUP INC, /IA/ /ADV CENTRAL INDEX KEY: 0001109767 IRS NUMBER: 391909295 STATE OF INCORPORATION: IA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-17213 FILM NUMBER: 161870544 BUSINESS ADDRESS: STREET 1: 4000 RIVER RIDGE DRIVE, NE STREET 2: --- CITY: CEDAR RAPIDS STATE: IA ZIP: 52402 BUSINESS PHONE: 319-393-9541 MAIL ADDRESS: STREET 1: 4000 RIVER RIDGE DRIVE, NE STREET 2: --- CITY: CEDAR RAPIDS STATE: IA ZIP: 52402 FORMER COMPANY: FORMER CONFORMED NAME: NATIONS FINANCIAL GROUP INC /IA/ /ADV DATE OF NAME CHANGE: 20000322 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false false false 0001109767 XXXXXXXX 03-31-2016 03-31-2016 true 1 RESTATEMENT NATIONS FINANCIAL GROUP INC, /IA/ /ADV

4000 RIVER RIDGE DRIVE, NE --- CEDAR RAPIDS IA 52402

13F HOLDINGS REPORT 028-17213 N Steve Cairney Chief Compliance Officer 319-393-9541 /s/ Steve Cairney Cedar Rapids IA 09-02-2016 0 141 86983 false INFORMATION TABLE 2 aci_13f.xml INFORMATION TABLE VANGUARD RUSSELL ETF 2000 92206C664 201 2266 SH SOLE 0 0 2266 3M CO Com 88579Y101 494 2968 SH SOLE 0 0 2968 ALLIANT ENERGY CORP Com 18802108 854 11499 SH SOLE 0 0 11499 AMAZON COM INC Com 23135106 298 502 SH SOLE 0 0 502 APPLE INC Com 37833100 2135 19592 SH SOLE 0 0 19592 AT & T INC Com 00206R102 1301 33227 SH SOLE 0 0 33227 BANK OF AMERICA CORP Com 60505104 200 14800 SH SOLE 0 0 14800 BOEING CO Com 97023105 574 4523 SH SOLE 0 0 4523 BP PLC SPONS ADR Com 55622104 221 7330 SH SOLE 0 0 7330 CARDINAL HEALTH INC Com 14149Y108 266 3250 SH SOLE 0 0 3250 CATERPILLAR INC Com 149123101 709 9272 SH SOLE 0 0 9272 CENTURYLINK INC Com 156700106 457 14305 SH SOLE 0 0 14305 CHEVRON CORPORATION Com 166764100 571 5987 SH SOLE 0 0 5987 COCA-COLA COMPANY Com 191216100 376 8115 SH SOLE 0 0 8115 COLGATE-PALMOLIVE CO Com 194162103 200 2832 SH SOLE 0 0 2832 COMCAST CORP NEW CL A CLASS A 20030N101 215 3532 SH SOLE 0 0 3532 CONOCOPHILLIPS Com 20825C104 352 8752 SH SOLE 0 0 8752 DEERE & CO Com 244199105 429 5577 SH SOLE 0 0 5577 DISNEY WALT COMPANY Com 254687106 311 3136 SH SOLE 0 0 3136 DNP SELECT INCOME FD Com 23325P104 2646 264647 SH SOLE 0 0 264647 DOW CHEMICAL COMPANY Com 260543103 394 7749 SH SOLE 0 0 7749 E M C CORP MASS Com 268648102 393 14758 SH SOLE 0 0 14758 EMERSON ELECTRIC CO Com 291011104 260 4789 SH SOLE 0 0 4789 E-TRACS UBS BBG CMI ETN ETN 902641778 291 23868 SH SOLE 0 0 23868 EXXON MOBIL CORP Com 30231G102 971 11621 SH SOLE 0 0 11621 FORD MOTOR COMPANY Com 345370860 435 32255 SH SOLE 0 0 32255 GENERAL ELECTRIC COMPANY Com 369604103 1536 48325 SH SOLE 0 0 48325 GENERAL MILLS INC Com 370334104 229 3616 SH SOLE 0 0 3616 HOME DEPOT INC Com 437076102 359 2696 SH SOLE 0 0 2696 I SHARES SILVER TR ETF ETF 46428Q109 200 13650 SH SOLE 0 0 13650 INTEL CORP Com 458140100 768 23749 SH SOLE 0 0 23749 ISHARES MSCI EAFE INDEX ETF 464287465 951 16641 SH SOLE 0 0 16641 ISHARES S&P500 VALUE ETF ETF 464287408 637 7084 SH SOLE 0 0 7084 JOHNSON & JOHNSON Com 478160104 1022 9448 SH SOLE 0 0 9448 KIMBERLY-CLARK CORP Com 494368103 372 2771 SH SOLE 0 0 2771 KRAFT HEINZ CO Com 500754106 435 5541 SH SOLE 0 0 5541 MCDONALDS CORP Com 580135101 235 1869 SH SOLE 0 0 1869 MEDTRONIC PLC Com G5960L103 336 4482 SH SOLE 0 0 4482 MERCK & CO INC NEW Com 58933Y105 600 11346 SH SOLE 0 0 11346 MICROSOFT CORP Com 594918104 354 6414 SH SOLE 0 0 6414 MONDELEZ INTL INC Com 609207105 359 8952 SH SOLE 0 0 8952 NIKE INC CLASS B Class B 654106103 728 11845 SH SOLE 0 0 11845 NUVEEN BUILD AMER BD FD Com 67074C103 405 18756 SH SOLE 0 0 18756 ONEOK INC NEW Com 682680103 483 16182 SH SOLE 0 0 16182 PEPSICO INCORPORATED Com 713448108 883 8616 SH SOLE 0 0 8616 PFIZER INCORPORATED Com 717081103 736 24825 SH SOLE 0 0 24825 PHILLIPS 66 Com 718546104 309 3564 SH SOLE 0 0 3564 PROCTER & GAMBLE CO Com 742718109 1401 17027 SH SOLE 0 0 17027 QUALCOMM INC Com 747525103 249 4870 SH SOLE 0 0 4870 SCHLUMBERGER LTD Com 806857108 336 4552 SH SOLE 0 0 4552 SOUTHERN COPPER CORP Com 84265V105 226 8174 SH SOLE 0 0 8174 SPDR GOLD TRUST ETF ETF 78463V107 617 5245 SH SOLE 0 0 5245 SPDR S&P 500 TRUST ETF ETF 78462F103 637 3100 SH SOLE 0 0 3100 SPDR S&P REGNL BNKG ETF ETF 78464A698 370 9823 SH SOLE 0 0 9823 STARBUCKS CORP Com 855244109 579 9692 SH SOLE 0 0 9692 STRYKER CORP Com 863667101 426 3975 SH SOLE 0 0 3975 US BANCORP NEW Com 902973304 334 8222 SH SOLE 0 0 8222 VANGUARD HEALTH CARE ETF ETF 92204A504 204 1653 SH SOLE 0 0 1653 VANGUARD MID CAP ETF ETF 922908629 1303 10752 SH SOLE 0 0 10752 VANGUARD REIT ETF ETF 922908553 643 7669 SH SOLE 0 0 7669 VANGUARD SMALL CAP ETF ETF 922908751 301 2701 SH SOLE 0 0 2701 VANGUARD VALUE ETF ETF 922908744 510 6190 SH SOLE 0 0 6190 W P CAREY INC Com 92936U109 217 3480 SH SOLE 0 0 3480 WAL-MART STORES INC Com 931142103 653 9533 SH SOLE 0 0 9533 WELLS FARGO COMPANY Com 949746101 296 6110 SH SOLE 0 0 6110 WISDOMTREE MIDCAP DIV FD Com 97717W505 824 9565 SH SOLE 0 0 9565 ISHARES ETF 1-3 YR TREASURY BOND 464287457 235 2769 SH SOLE 0 0 2769 ISHARES S&P MIDCAP ETF 400 GROWTH 464287606 208 1280 SH SOLE 0 0 1280 ISHARES S&P MIDCAP ETF 400 VALUE 464287705 332 2679 SH SOLE 0 0 2679 COMMERCE BANCSHARES PFD 6% NON-CUM PERPETUAL MTY 200525301 249 9400 SH SOLE 0 0 9400 JOHN HANCOCK TAX- ADVANTAGED DIV INCOME FD 41013V100 1000 43863 SH SOLE 0 0 43863 WALGREENS BOOTS ALLIANCE INC 931427108 720 8542 SH SOLE 0 0 8542 VANGUARD DIVIDEND ETF APPRECIATION 921908844 243 2994 SH SOLE 0 0 2994 SPDR S&P INTL SMALL ETF CAP 78463X871 413 14466 SH SOLE 0 0 14466 GUGGENHEIM S&P MID ETF CAP 400 PURE GROWTH 78355W601 214 1773 SH SOLE 0 0 1773 BERKSHIRE HATHAWAY INC CL A 84670108 854 4 SH SOLE 0 0 4 AON PLC CLASS A G0408V102 282 2700 SH SOLE 0 0 2700 CENTRAL FUND CDA LTD CLASS A 153501101 136 11316 SH SOLE 0 0 11316 FACEBOOK INC CLASS A 30303M102 784 6870 SH SOLE 0 0 6870 VERIZON COMMUNICATIONS COM 92343V104 1257 23247 SH SOLE 0 0 23247 ISHARES S&P GSCI ETF COMMODITY-INDEXED TRUST 46428R107 206 14920 SH SOLE 0 0 14920 VANGUARD SHORT TERM ETF CORP BD 92206C409 307 3840 SH SOLE 0 0 3840 CHS INC 7.50% PFD CUMULATIVE PERP MTY 12542R803 278 9977 SH SOLE 0 0 9977 CHS INC 7.875% PFD CUMULATIVE PREFERRED 12542R308 795 27778 SH SOLE 0 0 27778 DELAWARE ENHANCED GLOBAL DIVIDEND & INCOME FD 246060107 203 22190 SH SOLE 0 0 22190 ISHARES CORE MSCI ETF EMERGING MARKETS ETF 46434G103 1245 29922 SH SOLE 0 0 29922 ISHARES CORE S&P MIDCAP ETF 464287507 1635 11341 SH SOLE 0 0 11341 VANGUARD SHORT TERM BOND ETF 921937827 240 2974 SH SOLE 0 0 2974 VANGUARD SMALL CAP VALUE ETF 922908611 287 2817 SH SOLE 0 0 2817 CLEARBRIDGE ENERGY MLP FD 184692101 210 15485 SH SOLE 0 0 15485 MARKET VCTRS AMT ETF XXX FREE INTERMEDIATE 57060U845 607 25051 SH SOLE 0 0 25051 CUTWATER SELECT INCOME FUND 232229104 196 10254 SH SOLE 0 0 10254 WISDOMTREE INTL S/C DVD FUND 97717W760 1802 30605 SH SOLE 0 0 30605 NUVEEN MUNICIPAL VALUE FUND INC 670928100 132 12599 SH SOLE 0 0 12599 SPDR DOW JONES ETF GLOBAL REAL ESTATE 78463X749 2064 42144 SH SOLE 0 0 42144 ISHARES S&P 500 ETF GROWTH 464287309 927 7999 SH SOLE 0 0 7999 ISHARES CORE ETF GROWTH ALLOCATION 464289867 483 12238 SH SOLE 0 0 12238 SELECT SECTOR SPDR FD HEALTH CARE 81369Y209 231 3414 SH SOLE 0 0 3414 VANGUARD WHITEHALL FDS HIGH DIVIDEND YIELD 921946406 375 5428 SH SOLE 0 0 5428 FIRST TRUST MLP&ENERGY INCOME FUND 33739B104 157 11566 SH SOLE 0 0 11566 NUVEEN AMT-FREE MUNI INCOME FUND 670657105 190 13346 SH SOLE 0 0 13346 NUVEEN SELECT TAX FREE INCOME PORTFOLIO SBI 67062F100 254 17091 SH SOLE 0 0 17091 FRANKLIN LTD DURATION INCOME TRUST 35472T101 294 25892 SH SOLE 0 0 25892 VANGUARD INTL EQUITY ETF INDEX FDS FTSE EMERGING 922042858 2298 66468 SH SOLE 0 0 66468 VANGUARD MID-CAP VALUE INDEX FUND 922908512 621 7129 SH SOLE 0 0 7129 COHEN & STEERS INFRASTRUCTURE FUND INC 19248A109 1449 73162 SH SOLE 0 0 73162 PHILIP MORRIS INTERNATIONAL INC 718172109 581 5923 SH SOLE 0 0 5923 BARCLAYS BK PLC ETN IPATH BLOOMBERG CMMD IDX 06738C778 1074 49971 SH SOLE 0 0 49971 PRUDENTIAL FIN 5.7% PFD JR SUB NOTES DUE03/15/53 744320706 309 11889 SH SOLE 0 0 11889 POWERSHARES DYNAMIC LARGE CAP GROWTH 73935X609 292 9472 SH SOLE 0 0 9472 FERRELL GAS PROPERTIES LTD PARTNERSHIP 315293100 248 14265 SH SOLE 0 0 14265 INTERNATIONAL BUSINESS MACHINE CORP 459200101 672 4439 SH SOLE 0 0 4439 VANGUARD TOTAL STOCK MARKET ETF 922908769 836 7973 SH SOLE 0 0 7973 WISDOMTREE EMERGING ETF MARKETS HIGH DIVIDEND FD 97717W315 230 6591 SH SOLE 0 0 6591 WISDOMTREE EMERGING ETF MARKETS LOCAL DEBT FUND 97717X867 260 7053 SH SOLE 0 0 7053 ISHARES RUSSELL ETF MIDCAP 464287499 250 1536 SH SOLE 0 0 1536 ISHARES RUSSELL ETF MID-CAP VALUE 464287473 443 6244 SH SOLE 0 0 6244 ISHARES ETF MSCI EAFE VALUE 464288877 3031 67566 SH SOLE 0 0 67566 BLACKROCK GLOBAL OPPORTUNITIES EQUITY 92501105 240 20188 SH SOLE 0 0 20188 AEGON N V ORD AMER REG 7924103 94 17156 SH SOLE 0 0 17156 AUTOMATIC DATA PROCESSING 53015103 229 2547 SH SOLE 0 0 2547 STARWOOD HOTELS & RESORTS WORLDWIDE INC 85590A401 292 3500 SH SOLE 0 0 3500 NUVEEN ENERGY MLP TOTAL RETURN FD 67074U103 232 22893 SH SOLE 0 0 22893 ISHARES ETF RUSSELL 1000 VALUE 464287598 740 7487 SH SOLE 0 0 7487 ISHARES ETF RUSSELL MIDCAP GROWTH 464287481 437 4740 SH SOLE 0 0 4740 GUGGENHEIM ETF S&P 500 EQUAL WEIGHTED 78355W106 484 6158 SH SOLE 0 0 6158 VANGUARD INDEX FDS ETF S&P 500 ETF SHS NEW 922908363 1574 8349 SH SOLE 0 0 8349 ISHARES CORE S&P 500 ETF S&P 500 INDEX FD 464287200 663 3206 SH SOLE 0 0 3206 ISHARES ETF S&P SMALL CAP 600 GROWTH 464287887 211 1699 SH SOLE 0 0 1699 ENERGY SELECT ETF SECTOR SPDR 81369Y506 1041 16818 SH SOLE 0 0 16818 POWERSHARES QQQ TR ETF SERIES 1 73935A104 4162 38115 SH SOLE 0 0 38115 BERKSHIRE HATHAWAY INC SERIES B NEW 84670702 2505 17659 SH SOLE 0 0 17659 ISHARES MORNINGSTAR ETF SMALL CAP 464288505 205 1539 SH SOLE 0 0 1539 ISHARES CORE S&P ETF SMALLCAP 464287804 386 3429 SH SOLE 0 0 3429 NOVARTIS AG SPON ADR 66987V109 245 3378 SH SOLE 0 0 3378 VANGUARD TOTAL WORLD ETF STOCK INDEX FUND 922042742 561 9722 SH SOLE 0 0 9722 SECTOR SPDR TR ETF TECHNOLOGY SELECT SECTOR 81369Y803 356 8015 SH SOLE 0 0 8015 ELEMENTS ROGERS ETN TOTAL RETURN 870297801 957 209394 SH SOLE 0 0 209394 CALAMOS STRATEGIC TOTAL RETURN FUND 128125101 248 26113 SH SOLE 0 0 26113 SPROTT PHYSICAL GOLD ETF TRUST 85207H104 424 41912 SH SOLE 0 0 41912 FIRST TR DORSEY ETF WRIGHT FOCUS FIVE FUND 33738R605 441 20399 SH SOLE 0 0 20399