Chief Operating Officer

0001376474-19-000114.txt : 20190510 0001376474-19-000114.hdr.sgml : 20190510 20190510114934 ACCESSION NUMBER: 0001376474-19-000114 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190510 DATE AS OF CHANGE: 20190510 EFFECTIVENESS DATE: 20190510 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 SEC ACT: 1934 Act SEC FILE NUMBER: 028-17213 FILM NUMBER: 19813601 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 1 primary_doc.xml 13F-HR LIVE false false false 0001109767 XXXXXXXX 03-31-2019 03-31-2019 NATIONS FINANCIAL GROUP INC, /IA/ /ADV

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

13F HOLDINGS REPORT 028-17213 N Steve Cairney Chief Operating Officer 319-378-5272 /s/ Steve Cairney Cedar Rapids IA 05-10-2019 0 171 145807 false INFORMATION TABLE 2 aci_13f.xml 3M CO COM Stock 88579Y101 247 1187 SH SOLE 0 0 1187 ABBOTT LABS COM Stock 002824100 399 4987 SH SOLE 0 0 4987 ABBVIE INC COM Stock 00287Y109 310 3841 SH SOLE 0 0 3841 ADVENT CLAYMORE CV SECS & INC COM CEF 00764C109 261 17685 SH SOLE 0 0 17685 AFLAC INC COM Stock 001055102 278 5556 SH SOLE 0 0 5556 ALLIANT ENERGY CORP COM Stock 018802108 1033 21924 SH SOLE 0 0 21924 ALPHABET INC CAP STK CL A Stock 02079K305 280 238 SH SOLE 0 0 238 ALPHABET INC CAP STK CL C Stock 02079K107 204 174 SH SOLE 0 0 174 AMAZON COM INC COM Stock 023135106 1754 985 SH SOLE 0 0 985 AMERICAN ELEC PWR CO INC COM Stock 025537101 284 3395 SH SOLE 0 0 3395 AMERICAN EXPRESS CO COM Stock 025816109 306 2801 SH SOLE 0 0 2801 AMGEN INC COM Stock 031162100 401 2109 SH SOLE 0 0 2109 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR ADR 03524A108 496 5912 SH SOLE 0 0 5912 AON PLC SHS CL A Stock G0408V102 518 3033 SH SOLE 0 0 3033 APPLE INC COM Stock 037833100 4895 25772 SH SOLE 0 0 25772 ARCOS DORADOS HOLDINGS INC SHS CLASS -A - Stock G0457F107 101 14026 SH SOLE 0 0 14026 AT&T INC COM Stock 00206R102 1038 33097 SH SOLE 0 0 33097 AUTOMATIC DATA PROCESSING INC COM Stock 053015103 434 2719 SH SOLE 0 0 2719 BERKSHIRE HATHAWAY INC DEL CL A Stock 084670108 1506 5 SH SOLE 0 0 5 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 3421 17028 SH SOLE 0 0 17028 BLACKROCK ENHANCED GBL DIV TR COM CEF 092501105 698 65207 SH SOLE 0 0 65207 BOEING CO COM Stock 097023105 877 2298 SH SOLE 0 0 2298 BP PLC SPONSORED ADR ADR 055622104 368 8414 SH SOLE 0 0 8414 CALAMOS STRATEGIC TOTL RETN FD COM SH BEN INT CEF 128125101 322 26025 SH SOLE 0 0 26025 CATERPILLAR INC DEL COM Stock 149123101 878 6476 SH SOLE 0 0 6476 CBRE CLARION GLOBAL REAL ESTAT COM CEF 12504G100 101 13493 SH SOLE 0 0 13493 CELGENE CORP COM Stock 151020104 467 4949 SH SOLE 0 0 4949 CENTURYLINK INC COM Stock 156700106 142 11854 SH SOLE 0 0 11854 CHEVRON CORP NEW COM Stock 166764100 515 4184 SH SOLE 0 0 4184 CISCO SYS INC COM Stock 17275R102 392 7254 SH SOLE 0 0 7254 COHEN & STEERS INFRASTRUCTURE COM CEF 19248A109 2474 100889 SH SOLE 0 0 100889 COHEN & STEERS QUALITY RLTY FD COM CEF 19247L106 255 19928 SH SOLE 0 0 19928 COHEN & STEERS REIT & PFD INCM COM CEF 19247X100 431 20900 SH SOLE 0 0 20900 COLGATE PALMOLIVE CO COM Stock 194162103 514 7500 SH SOLE 0 0 7500 COMCAST CORP NEW CL A Stock 20030N101 274 6841 SH SOLE 0 0 6841 COMPANHIA PARANAENSE ENERG COP SPON ADR PFD ADR 20441B407 126 13613 SH SOLE 0 0 13613 CONOCOPHILLIPS COM Stock 20825C104 428 6419 SH SOLE 0 0 6419 CONSUMER DISCRETIONARY SELECT SECTOR SPDR FUND ETF 81369Y407 1032 9066 SH SOLE 0 0 9066 CONSUMER STAPLES SELECT SECTOR SPDR FUND ETF 81369Y308 350 6234 SH SOLE 0 0 6234 COSTCO WHSL CORP NEW COM Stock 22160K105 370 1527 SH SOLE 0 0 1527 CSX CORP COM Stock 126408103 475 6345 SH SOLE 0 0 6345 DANAHER CORPORATION COM Stock 235851102 314 2380 SH SOLE 0 0 2380 DEERE & CO COM Stock 244199105 680 4251 SH SOLE 0 0 4251 DELAWARE ENHANCED GBL DIV & IN COM CEF 246060107 342 35381 SH SOLE 0 0 35381 DICKS SPORTING GOODS INC COM Stock 253393102 442 12000 SH SOLE 0 0 12000 DISNEY WALT CO COM DISNEY Stock 254687106 546 4921 SH SOLE 0 0 4921 DOMINION ENERGY INC COM Stock 25746U109 360 4690 SH SOLE 0 0 4690 DOWDUPONT INC COM Stock 26078J100 504 9452 SH SOLE 0 0 9452 ELECTRONIC ARTS INC COM Stock 285512109 286 2814 SH SOLE 0 0 2814 ENERGY SELECT SECTOR SPDR FUND ETF 81369Y506 566 8557 SH SOLE 0 0 8557 ENTERPRISE PRODS PARTNERS L P COM Stock 293792107 534 18367 SH SOLE 0 0 18367 EXXON MOBIL CORP COM Stock 30231G102 472 5841 SH SOLE 0 0 5841 FACEBOOK INC CL A Stock 30303M102 225 1348 SH SOLE 0 0 1348 FINANCIAL SELECT SECTOR SPDR FUND ETF 81369Y605 289 11258 SH SOLE 0 0 11258 FIRST TRUST ENHANCED SHORT MATURITY ETF ETF 33739Q408 429 7150 SH SOLE 0 0 7150 FIRST TRUST NASDAQ RISING DIVIDEND ACHIEVERS FUND ETF 33738R506 2794 93679 SH SOLE 0 0 93679 FIRST TRUST NYSE ARCA BIOTECHNOLOGY INDEX FUND ETF 33733E203 1616 10715 SH SOLE 0 0 10715 FIRST TRUST US EQUITY OPPORTUNITIES ETF ETF 336920103 493 6579 SH SOLE 0 0 6579 FIRST TRUST VALUE LINE DIVIDEND INDEX FUND ETF 33734H106 500 15392 SH SOLE 0 0 15392 FORD MTR CO DEL COM Stock 345370860 522 59446 SH SOLE 0 0 59446 GENERAL ELECTRIC CO COM Stock 369604103 254 25445 SH SOLE 0 0 25445 GILEAD SCIENCES INC COM Stock 375558103 266 4098 SH SOLE 0 0 4098 GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ETF 381430503 963 16946 SH SOLE 0 0 16946 HANCOCK JOHN TAX-ADV DIV INCM COM CEF 41013V100 1241 50022 SH SOLE 0 0 50022 HEALTH CARE SELECT SECTOR SPDR FUND ETF 81369Y209 934 10184 SH SOLE 0 0 10184 HOME DEPOT INC COM Stock 437076102 383 1998 SH SOLE 0 0 1998 IBERIABANK CORP COM Stock 450828108 236 3295 SH SOLE 0 0 3295 INTEL CORP COM Stock 458140100 1434 26703 SH SOLE 0 0 26703 INTERNATIONAL BUSINESS MACHS COM Stock 459200101 1025 7263 SH SOLE 0 0 7263 INVESCO DYNAMIC LARGE CAP GROWTH ETF ETF 46137V746 285 6009 SH SOLE 0 0 6009 INVESCO QQQ TRUST ETF 46090E103 6532 36357 SH SOLE 0 0 36357 INVESCO S&P 500 EQUAL WEIGHT ETF ETF 46137V357 263 2517 SH SOLE 0 0 2517 INVESCO TR INVT GRADE MUNS COM CEF 46131M106 132 10659 SH SOLE 0 0 10659 ISHARES 1-3 YEAR TREASURY BOND ETF ETF 464287457 247 2940 SH SOLE 0 0 2940 ISHARES COMEX GOLD TRUST ETF 464285105 413 33344 SH SOLE 0 0 33344 ISHARES CORE MSCI EAFE ETF ETF 46432F842 240 3945 SH SOLE 0 0 3945 ISHARES CORE S&P 500 ETF ETF 464287200 1063 3735 SH SOLE 0 0 3735 ISHARES EDGE MSCI MIN VOL USA ETF ETF 46429B697 4906 83442 SH SOLE 0 0 83442 ISHARES EDGE MSCI USA MOMENTUM FACTOR ETF ETF 46432F396 1762 15702 SH SOLE 0 0 15702 ISHARES FLOATING RATE BOND ETF ETF 46429B655 672 13203 SH SOLE 0 0 13203 ISHARES INTERMEDIATE CREDIT BOND ETF ETF 464288638 301 5460 SH SOLE 0 0 5460 ISHARES J.P. MORGAN USD EMERGING MARKETS BOND ETF ETF 464288281 815 7406 SH SOLE 0 0 7406 ISHARES MORNINGSTAR SMALL-CAP ETF ETF 464288505 666 3932 SH SOLE 0 0 3932 ISHARES MSCI EAFE ETF ETF 464287465 769 11856 SH SOLE 0 0 11856 ISHARES NASDAQ BIOTECHNOLOGY INDEX FUND ETF 464287556 529 4734 SH SOLE 0 0 4734 ISHARES RUSSELL 1000 GROWTH ETF ETF 464287614 394 2601 SH SOLE 0 0 2601 ISHARES RUSSELL 1000 VALUE ETF ETF 464287598 774 6266 SH SOLE 0 0 6266 ISHARES RUSSELL 2000 ETF ETF 464287655 275 1797 SH SOLE 0 0 1797 ISHARES RUSSELL MID-CAP ETF ETF 464287499 421 7812 SH SOLE 0 0 7812 ISHARES RUSSELL MID-CAP GROWTH ETF ETF 464287481 632 4655 SH SOLE 0 0 4655 ISHARES RUSSELL MID-CAP VALUE ETF ETF 464287473 605 6964 SH SOLE 0 0 6964 ISHARES S&P 500 GROWTH ETF ETF 464287309 3149 18271 SH SOLE 0 0 18271 ISHARES S&P 500 VALUE ETF ETF 464287408 833 7387 SH SOLE 0 0 7387 ISHARES S&P MID-CAP 400 GROWTH ETF ETF 464287606 571 2607 SH SOLE 0 0 2607 ISHARES S&P MID-CAP 400 VALUE ETF ETF 464287705 833 5307 SH SOLE 0 0 5307 ISHARES S&P MIDCAP FUND ETF 464287507 10105 53351 SH SOLE 0 0 53351 ISHARES S&P SMALL-CAP 600 GROWTH ETF ETF 464287887 957 5359 SH SOLE 0 0 5359 ISHARES S&P SMALL-CAP FUND ETF 464287804 6262 81160 SH SOLE 0 0 81160 ISHARES SILVER TRUST ETF 46428Q109 255 18015 SH SOLE 0 0 18015 ISHARES TIPS BOND ETF ETF 464287176 236 2082 SH SOLE 0 0 2082 ISHARES TRANSPORTATION AVERAGE ETF ETF 464287192 280 1493 SH SOLE 0 0 1493 JOHNSON & JOHNSON COM Stock 478160104 897 6419 SH SOLE 0 0 6419 JPMORGAN CHASE & CO COM Stock 46625H100 246 2427 SH SOLE 0 0 2427 KIMBERLY CLARK CORP COM Stock 494368103 475 3834 SH SOLE 0 0 3834 MCDONALDS CORP COM Stock 580135101 352 1853 SH SOLE 0 0 1853 MEDTRONIC PLC SHS Stock G5960L103 205 2248 SH SOLE 0 0 2248 MERCK & CO INC COM Stock 58933Y105 851 10228 SH SOLE 0 0 10228 MFS INTERMEDIATE HIGH INC FD SH BEN INT CEF 59318T109 30 11675 SH SOLE 0 0 11675 MICROSOFT CORP COM Stock 594918104 938 7953 SH SOLE 0 0 7953 MONDELEZ INTL INC CL A Stock 609207105 325 6505 SH SOLE 0 0 6505 NETFLIX INC COM Stock 64110L106 386 1083 SH SOLE 0 0 1083 NEXTERA ENERGY INC COM Stock 65339F101 278 1436 SH SOLE 0 0 1436 NIKE INC CL B Stock 654106103 208 2473 SH SOLE 0 0 2473 NUVEEN CR OPPORTUNITIES 2022 COM CEF 67075U102 735 76288 SH SOLE 0 0 76288 NUVEEN DOW 30 DYN OVERWRITE SHS CEF 67075F105 587 32625 SH SOLE 0 0 32625 NUVEEN SR INCOME FD COM CEF 67067Y104 196 33801 SH SOLE 0 0 33801 NVIDIA CORP COM Stock 67066G104 206 1145 SH SOLE 0 0 1145 ONEOK INC NEW COM Stock 682680103 459 6578 SH SOLE 0 0 6578 PEPSICO INC COM Stock 713448108 854 6969 SH SOLE 0 0 6969 PFIZER INC COM Stock 717081103 1211 28503 SH SOLE 0 0 28503 PHILIP MORRIS INTL INC COM Stock 718172109 221 2498 SH SOLE 0 0 2498 PHILLIPS 66 COM Stock 718546104 228 2393 SH SOLE 0 0 2393 PIMCO ACTIVE BOND EXCHANGE-TRADED FUND ETF 72201R775 1061 10051 SH SOLE 0 0 10051 PIMCO ENHANCED SHORT MATURITY ACTIVE EXCHANGE-TRADED FUND ETF 72201R833 483 4756 SH SOLE 0 0 4756 PROCTER AND GAMBLE CO COM Stock 742718109 1078 10358 SH SOLE 0 0 10358 QUALCOMM INC COM Stock 747525103 381 6672 SH SOLE 0 0 6672 RAYTHEON CO COM NEW Stock 755111507 212 1166 SH SOLE 0 0 1166 RITE AID CORP COM Stock 767754104 8 12000 SH SOLE 0 0 12000 ROSS STORES INC COM Stock 778296103 321 3450 SH SOLE 0 0 3450 SCHWAB U.S. LARGE-CAP ETF ETF 808524201 979 14487 SH SOLE 0 0 14487 SCHWAB U.S. LARGE-CAP VALUE ETF ETF 808524409 301 5492 SH SOLE 0 0 5492 SMUCKER J M CO COM NEW Stock 832696405 312 2678 SH SOLE 0 0 2678 SPDR BLOOMBERG BARCLAYS 1-3 MONTH T-BILL ETF ETF 78468R663 434 4738 SH SOLE 0 0 4738 SPDR BLOOMBERG BARCLAYS HIGH YIELD BOND ETF ETF 78468R622 793 22042 SH SOLE 0 0 22042 SPDR GOLD SHARES ETF 78463V107 292 2395 SH SOLE 0 0 2395 SPDR NUVEEN BLOOMBERG BARCLAYS MUNICIPAL BOND ETF ETF 78468R721 814 16526 SH SOLE 0 0 16526 SPDR NUVEEN BLOOMBERG BARCLAYS SHORT TERM MUNICIPAL BOND ETF ETF 78468R739 517 10664 SH SOLE 0 0 10664 SPDR S&P 500 ETF ETF 78462F103 3260 11539 SH SOLE 0 0 11539 SPDR S&P REGIONAL BANKING ETF ETF 78464A698 750 14603 SH SOLE 0 0 14603 STARBUCKS CORP COM Stock 855244109 1102 14825 SH SOLE 0 0 14825 STRYKER CORP COM Stock 863667101 774 3920 SH SOLE 0 0 3920 SYNACOR INC COM Stock 871561106 31 19500 SH SOLE 0 0 19500 TECHNOLOGY SELECT SECTOR SPDR FUND ETF 81369Y803 3614 48836 SH SOLE 0 0 48836 TESLA INC COM Stock 88160R101 250 892 SH SOLE 0 0 892 UNITED PARCEL SERVICE INC CL B Stock 911312106 756 6765 SH SOLE 0 0 6765 UNITED TECHNOLOGIES CORP COM Stock 913017109 394 3057 SH SOLE 0 0 3057 VANECK VECTORS AMT-FREE INTERMEDIATE MUNICIPAL INDEX ETF ETF 92189H201 740 15164 SH SOLE 0 0 15164 VANECK VECTORS GOLD MINERS ETF ETF 92189F106 490 21868 SH SOLE 0 0 21868 VANGUARD DIVIDEND APPRECIATION INDEX FUND ETF 921908844 420 3832 SH SOLE 0 0 3832 VANGUARD FTSE DEVELOPED MARKETS ETF ETF 921943858 2092 51196 SH SOLE 0 0 51196 VANGUARD FTSE EMERGING MARKETS ETF ETF 922042858 4276 100619 SH SOLE 0 0 100619 VANGUARD GROWTH INDEX FUND ETF 922908736 858 5483 SH SOLE 0 0 5483 VANGUARD HEALTH CARE INDEX FUND ETF 92204A504 345 1998 SH SOLE 0 0 1998 VANGUARD HIGH DIVIDEND YIELD ETF ETF 921946406 612 7149 SH SOLE 0 0 7149 VANGUARD MATERIALS INDEX FUND ETF 92204A801 207 1680 SH SOLE 0 0 1680 VANGUARD MID-CAP INDEX FUND ETF 922908629 1565 9733 SH SOLE 0 0 9733 VANGUARD REAL ESTATE ETF ETF 922908553 1273 14644 SH SOLE 0 0 14644 VANGUARD S&P 500 ETF ETF 922908363 361 1391 SH SOLE 0 0 1391 VANGUARD SHORT-TERM BOND INDEX FUND ETF 921937827 1665 20920 SH SOLE 0 0 20920 VANGUARD SHORT-TERM CORPORATE BOND INDEX FUND ETF 92206C409 594 7443 SH SOLE 0 0 7443 VANGUARD SMALL-CAP VALUE INDEX FUND ETF 922908611 737 5721 SH SOLE 0 0 5721 VANGUARD TOTAL INTERNATIONAL BOND ETF ETF 92203J407 285 5113 SH SOLE 0 0 5113 VANGUARD TOTAL STOCK MARKET INDEX FUND ETF 922908769 599 4142 SH SOLE 0 0 4142 VANGUARD VALUE INDEX FUND ETF 922908744 800 7432 SH SOLE 0 0 7432 VERIZON COMMUNICATIONS INC COM Stock 92343V104 1147 19397 SH SOLE 0 0 19397 WALGREENS BOOTS ALLIANCE INC COM Stock 931427108 392 6200 SH SOLE 0 0 6200 WALMART INC COM Stock 931142103 730 7484 SH SOLE 0 0 7484 WASTE MGMT INC DEL COM Stock 94106L109 858 8255 SH SOLE 0 0 8255 WELLS FARGO CO NEW COM Stock 949746101 229 4732 SH SOLE 0 0 4732 WISDOMTREE EMERGING MARKETS LOCAL DEBT FUND ETF 97717X867 219 6420 SH SOLE 0 0 6420 WISDOMTREE U.S. MIDCAP DIVIDEND FUND ETF 97717W505 1027 28695 SH SOLE 0 0 28695