Chief Operating Officer

0001376474-19-000211.txt : 20190813 0001376474-19-000211.hdr.sgml : 20190813 20190813162736 ACCESSION NUMBER: 0001376474-19-000211 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190813 DATE AS OF CHANGE: 20190813 EFFECTIVENESS DATE: 20190813 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: 191021006 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 06-30-2019 06-30-2019 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 08-13-2019 0 173 151279 false INFORMATION TABLE 2 aci_13f.xml INFORMATION TABLE 3M CO COM Stock 88579Y101 216 1244 SH SOLE 0 0 1244 ABBOTT LABS COM Stock 002824100 422 5016 SH SOLE 0 0 5016 ABBVIE INC COM Stock 00287Y109 342 4704 SH SOLE 0 0 4704 ADVENT CONVERTIBLE & INCOME FD COM CEF 00764C109 263 17485 SH SOLE 0 0 17485 AEGON N V NY REGISTRY SHS ADR 007924103 108 21742 SH SOLE 0 0 21742 AFLAC INC COM Stock 001055102 305 5556 SH SOLE 0 0 5556 ALLIANT ENERGY CORP COM Stock 018802108 1075 21909 SH SOLE 0 0 21909 ALPHABET INC CAP STK CL A Stock 02079K305 237 219 SH SOLE 0 0 219 ALPHABET INC CAP STK CL C Stock 02079K107 374 346 SH SOLE 0 0 346 AMAZON COM INC COM Stock 023135106 2039 1077 SH SOLE 0 0 1077 AMERICAN ELEC PWR CO INC COM Stock 025537101 299 3402 SH SOLE 0 0 3402 AMGEN INC COM Stock 031162100 381 2067 SH SOLE 0 0 2067 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR ADR 03524A108 523 5912 SH SOLE 0 0 5912 AON PLC SHS CL A Stock G0408V102 587 3041 SH SOLE 0 0 3041 APPLE INC COM Stock 037833100 5106 25799 SH SOLE 0 0 25799 ARCOS DORADOS HOLDINGS INC SHS CLASS -A - Stock G0457F107 112 15405 SH SOLE 0 0 15405 AT&T INC COM Stock 00206R102 1056 31501 SH SOLE 0 0 31501 AUTOMATIC DATA PROCESSING INC COM Stock 053015103 429 2596 SH SOLE 0 0 2596 BERKSHIRE HATHAWAY INC DEL CL A Stock 084670108 1592 5 SH SOLE 0 0 5 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 3497 16404 SH SOLE 0 0 16404 BLACKROCK ENHANCED GBL DIV TR COM CEF 092501105 701 65295 SH SOLE 0 0 65295 BOEING CO COM Stock 097023105 824 2263 SH SOLE 0 0 2263 BP PLC SPONSORED ADR ADR 055622104 348 8350 SH SOLE 0 0 8350 CALAMOS STRATEGIC TOTL RETN FD COM SH BEN INT CEF 128125101 332 26025 SH SOLE 0 0 26025 CATERPILLAR INC DEL COM Stock 149123101 892 6543 SH SOLE 0 0 6543 CBRE CLARION GLOBAL REAL ESTAT COM CEF 12504G100 101 13497 SH SOLE 0 0 13497 CHEVRON CORP NEW COM Stock 166764100 407 3268 SH SOLE 0 0 3268 CISCO SYS INC COM Stock 17275R102 398 7266 SH SOLE 0 0 7266 COHEN & STEERS INFRASTRUCTURE COM CEF 19248A109 2541 97917 SH SOLE 0 0 97917 COHEN & STEERS QUALITY RLTY FD COM CEF 19247L106 271 19831 SH SOLE 0 0 19831 COHEN & STEERS REIT & PFD &INM COM CEF 19247X100 452 20900 SH SOLE 0 0 20900 COLGATE PALMOLIVE CO COM Stock 194162103 538 7500 SH SOLE 0 0 7500 COMCAST CORP NEW CL A Stock 20030N101 282 6658 SH SOLE 0 0 6658 COMPANHIA PARANAENSE ENERG COP SPON ADR PFD ADR 20441B407 162 12745 SH SOLE 0 0 12745 CONOCOPHILLIPS COM Stock 20825C104 387 6343 SH SOLE 0 0 6343 CONSUMER DISCRETIONARY SELECT SECTOR SPDR FUND ETF 81369Y407 935 7843 SH SOLE 0 0 7843 CONSUMER STAPLES SELECT SECTOR SPDR FUND ETF 81369Y308 334 5755 SH SOLE 0 0 5755 CORNING INC COM Stock 219350105 218 6569 SH SOLE 0 0 6569 COSTCO WHSL CORP NEW COM Stock 22160K105 412 1558 SH SOLE 0 0 1558 CSX CORP COM Stock 126408103 500 6462 SH SOLE 0 0 6462 DANAHER CORPORATION COM Stock 235851102 340 2380 SH SOLE 0 0 2380 DEERE & CO COM Stock 244199105 668 4032 SH SOLE 0 0 4032 DELAWARE ENHANCED GBL DIV & IN COM CEF 246060107 356 35915 SH SOLE 0 0 35915 DICKS SPORTING GOODS INC COM Stock 253393102 416 12000 SH SOLE 0 0 12000 DISNEY WALT CO COM DISNEY Stock 254687106 817 5847 SH SOLE 0 0 5847 DOMINION ENERGY INC COM Stock 25746U109 363 4690 SH SOLE 0 0 4690 DUPONT DE NEMOURS INC COM Stock 26614N102 234 3121 SH SOLE 0 0 3121 ELECTRONIC ARTS INC COM Stock 285512109 246 2429 SH SOLE 0 0 2429 ENERGY SELECT SECTOR SPDR FUND ETF 81369Y506 475 7453 SH SOLE 0 0 7453 ENTERPRISE PRODS PARTNERS L P COM Stock 293792107 534 18490 SH SOLE 0 0 18490 EXXON MOBIL CORP COM Stock 30231G102 444 5792 SH SOLE 0 0 5792 FACEBOOK INC CL A Stock 30303M102 240 1241 SH SOLE 0 0 1241 FINANCIAL SELECT SECTOR SPDR FUND ETF 81369Y605 322 11656 SH SOLE 0 0 11656 FIRST TRUST ENHANCED SHORT MATURITY ETF ETF 33739Q408 510 8500 SH SOLE 0 0 8500 FIRST TRUST MUNICIPAL HIGH INCOME ETF ETF 33739P301 414 7914 SH SOLE 0 0 7914 FIRST TRUST NASDAQ RISING DIVIDEND ACHIEVERS FUND ETF 33738R506 2764 89001 SH SOLE 0 0 89001 FIRST TRUST NYSE ARCA BIOTECHNOLOGY INDEX FUND ETF 33733E203 1520 10791 SH SOLE 0 0 10791 FIRST TRUST US EQUITY OPPORTUNITIES ETF ETF 336920103 553 7100 SH SOLE 0 0 7100 FIRST TRUST VALUE LINE DIVIDEND INDEX FUND ETF 33734H106 550 16311 SH SOLE 0 0 16311 FORD MTR CO DEL COM Stock 345370860 630 61597 SH SOLE 0 0 61597 GENERAL ELECTRIC CO COM Stock 369604103 263 25057 SH SOLE 0 0 25057 GILEAD SCIENCES INC COM Stock 375558103 295 4372 SH SOLE 0 0 4372 GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ETF 381430503 1092 18587 SH SOLE 0 0 18587 HANCOCK JOHN TAX-ADV DIV INCM COM CEF 41013V100 1261 49628 SH SOLE 0 0 49628 HEALTH CARE SELECT SECTOR SPDR FUND ETF 81369Y209 942 10167 SH SOLE 0 0 10167 HOME DEPOT INC COM Stock 437076102 416 1998 SH SOLE 0 0 1998 INTEL CORP COM Stock 458140100 1074 22437 SH SOLE 0 0 22437 INTERNATIONAL BUSINESS MACHS COM Stock 459200101 913 6621 SH SOLE 0 0 6621 INVESCO DYNAMIC LARGE CAP GROWTH ETF ETF 46137V746 291 6009 SH SOLE 0 0 6009 INVESCO QQQ TRUST ETF 46090E103 6194 33167 SH SOLE 0 0 33167 INVESCO S&P 500 EQUAL WEIGHT ETF ETF 46137V357 271 2517 SH SOLE 0 0 2517 INVESCO TR INVT GRADE MUNS COM CEF 46131M106 135 10659 SH SOLE 0 0 10659 ISHARES 1-3 YEAR TREASURY BOND ETF ETF 464287457 256 3017 SH SOLE 0 0 3017 ISHARES COMEX GOLD TRUST ETF 464285105 452 33461 SH SOLE 0 0 33461 ISHARES CORE MSCI EAFE ETF ETF 46432F842 262 4264 SH SOLE 0 0 4264 ISHARES CORE S&P 500 ETF ETF 464287200 1252 4247 SH SOLE 0 0 4247 ISHARES EDGE MSCI MIN VOL USA ETF ETF 46429B697 5463 88494 SH SOLE 0 0 88494 ISHARES EDGE MSCI USA MOMENTUM FACTOR ETF ETF 46432F396 1770 14927 SH SOLE 0 0 14927 ISHARES FLOATING RATE BOND ETF ETF 46429B655 724 14208 SH SOLE 0 0 14208 ISHARES INTERMEDIATE CREDIT BOND ETF ETF 464288638 313 5499 SH SOLE 0 0 5499 ISHARES J.P. MORGAN USD EMERGING MARKETS BOND ETF ETF 464288281 1017 8981 SH SOLE 0 0 8981 ISHARES MORNINGSTAR SMALL-CAP ETF ETF 464288505 721 4128 SH SOLE 0 0 4128 ISHARES MSCI EAFE ETF ETF 464287465 789 12005 SH SOLE 0 0 12005 ISHARES NASDAQ BIOTECHNOLOGY INDEX FUND ETF 464287556 514 4710 SH SOLE 0 0 4710 ISHARES RUSSELL 1000 GROWTH ETF ETF 464287614 411 2612 SH SOLE 0 0 2612 ISHARES RUSSELL 1000 VALUE ETF ETF 464287598 689 5418 SH SOLE 0 0 5418 ISHARES RUSSELL 2000 ETF ETF 464287655 319 2050 SH SOLE 0 0 2050 ISHARES RUSSELL MID-CAP ETF ETF 464287499 589 10544 SH SOLE 0 0 10544 ISHARES RUSSELL MID-CAP GROWTH ETF ETF 464287481 671 4704 SH SOLE 0 0 4704 ISHARES RUSSELL MID-CAP VALUE ETF ETF 464287473 656 7358 SH SOLE 0 0 7358 ISHARES S&P 100 ETF ETF 464287101 371 2861 SH SOLE 0 0 2861 ISHARES S&P 500 GROWTH ETF ETF 464287309 3438 19179 SH SOLE 0 0 19179 ISHARES S&P 500 VALUE ETF ETF 464287408 730 6266 SH SOLE 0 0 6266 ISHARES S&P MID-CAP 400 GROWTH ETF ETF 464287606 575 2539 SH SOLE 0 0 2539 ISHARES S&P MID-CAP 400 VALUE ETF ETF 464287705 831 5209 SH SOLE 0 0 5209 ISHARES S&P MIDCAP FUND ETF 464287507 10455 53819 SH SOLE 0 0 53819 ISHARES S&P SMALL-CAP 600 GROWTH ETF ETF 464287887 978 5359 SH SOLE 0 0 5359 ISHARES S&P SMALL-CAP FUND ETF 464287804 6641 84839 SH SOLE 0 0 84839 ISHARES SILVER TRUST ETF 46428Q109 245 17115 SH SOLE 0 0 17115 ISHARES TIPS BOND ETF ETF 464287176 236 2046 SH SOLE 0 0 2046 ISHARES TRANSPORTATION AVERAGE ETF ETF 464287192 331 1758 SH SOLE 0 0 1758 JOHNSON & JOHNSON COM Stock 478160104 895 6425 SH SOLE 0 0 6425 JPMORGAN CHASE & CO COM Stock 46625H100 393 3511 SH SOLE 0 0 3511 KIMBERLY CLARK CORP COM Stock 494368103 511 3835 SH SOLE 0 0 3835 KINDER MORGAN INC DEL COM Stock 49456B101 277 13266 SH SOLE 0 0 13266 KRAFT HEINZ CO COM Stock 500754106 222 7157 SH SOLE 0 0 7157 LOCKHEED MARTIN CORP COM Stock 539830109 235 646 SH SOLE 0 0 646 MCDONALDS CORP COM Stock 580135101 489 2353 SH SOLE 0 0 2353 MEDTRONIC PLC SHS Stock G5960L103 213 2188 SH SOLE 0 0 2188 MERCK & CO INC COM Stock 58933Y105 968 11539 SH SOLE 0 0 11539 MFS INTERMEDIATE HIGH INC FD SH BEN INT CEF 59318T109 30 11675 SH SOLE 0 0 11675 MGM RESORTS INTERNATIONAL COM Stock 552953101 346 12100 SH SOLE 0 0 12100 MICROSOFT CORP COM Stock 594918104 1312 9792 SH SOLE 0 0 9792 MONDELEZ INTL INC CL A Stock 609207105 351 6506 SH SOLE 0 0 6506 NETFLIX INC COM Stock 64110L106 394 1073 SH SOLE 0 0 1073 NEWMONT GOLDCORP CORPORATION COM Stock 651639106 212 5506 SH SOLE 0 0 5506 NEXTERA ENERGY INC COM Stock 65339F101 294 1436 SH SOLE 0 0 1436 NUVEEN CR OPPORTUNITIES 2022 COM CEF 67075U102 733 76702 SH SOLE 0 0 76702 NUVEEN DOW 30 DYN OVERWRITE SHS CEF 67075F105 597 33925 SH SOLE 0 0 33925 NUVEEN SR INCOME FD COM CEF 67067Y104 200 33801 SH SOLE 0 0 33801 ONEOK INC NEW COM Stock 682680103 453 6580 SH SOLE 0 0 6580 PEPSICO INC COM Stock 713448108 590 4502 SH SOLE 0 0 4502 PFIZER INC COM Stock 717081103 1171 27023 SH SOLE 0 0 27023 PHILLIPS 66 COM Stock 718546104 245 2619 SH SOLE 0 0 2619 PIMCO ACTIVE BOND EXCHANGE-TRADED FUND ETF 72201R775 1097 10208 SH SOLE 0 0 10208 PIMCO ENHANCED SHORT MATURITY ACTIVE EXCHANGE-TRADED FUND ETF 72201R833 504 4957 SH SOLE 0 0 4957 PROCTER AND GAMBLE CO COM Stock 742718109 950 8661 SH SOLE 0 0 8661 QUALCOMM INC COM Stock 747525103 505 6637 SH SOLE 0 0 6637 RAYTHEON CO COM NEW Stock 755111507 203 1169 SH SOLE 0 0 1169 RIVERNORTH OPPRTUNITIES FD INC COM CEF 76881Y109 320 18775 SH SOLE 0 0 18775 ROSS STORES INC COM Stock 778296103 337 3400 SH SOLE 0 0 3400 SALESFORCE COM INC COM Stock 79466L302 851 5610 SH SOLE 0 0 5610 SCHWAB U.S. LARGE-CAP ETF ETF 808524201 1083 15431 SH SOLE 0 0 15431 SCHWAB U.S. LARGE-CAP VALUE ETF ETF 808524409 308 5492 SH SOLE 0 0 5492 SPDR BLOOMBERG BARCLAYS 1-3 MONTH T-BILL ETF ETF 78468R663 425 4641 SH SOLE 0 0 4641 SPDR BLOOMBERG BARCLAYS HIGH YIELD BOND ETF ETF 78468R622 801 7348 SH SOLE 0 0 7348 SPDR GOLD SHARES ETF 78463V107 215 1613 SH SOLE 0 0 1613 SPDR NUVEEN BLOOMBERG BARCLAYS MUNICIPAL BOND ETF ETF 78468R721 831 16577 SH SOLE 0 0 16577 SPDR NUVEEN BLOOMBERG BARCLAYS SHORT TERM MUNICIPAL BOND ETF ETF 78468R739 523 10681 SH SOLE 0 0 10681 SPDR S&P 500 ETF ETF 78462F103 3790 12936 SH SOLE 0 0 12936 SPDR S&P REGIONAL BANKING ETF ETF 78464A698 767 14346 SH SOLE 0 0 14346 SPROTT PHYSICAL GOLD AND SILVER TRUST CEF 85208R101 172 13030 SH SOLE 0 0 13030 STRYKER CORP COM Stock 863667101 621 3021 SH SOLE 0 0 3021 SYNACOR INC COM Stock 871561106 30 19500 SH SOLE 0 0 19500 TECHNOLOGY SELECT SECTOR SPDR FUND ETF 81369Y803 3843 49239 SH SOLE 0 0 49239 TEXAS INSTRS INC COM Stock 882508104 209 1822 SH SOLE 0 0 1822 UNITED PARCEL SERVICE INC CL B Stock 911312106 678 6566 SH SOLE 0 0 6566 UNITED TECHNOLOGIES CORP COM Stock 913017109 531 4079 SH SOLE 0 0 4079 VANECK VECTORS AMT-FREE INTERMEDIATE MUNICIPAL INDEX ETF ETF 92189H201 673 13524 SH SOLE 0 0 13524 VANECK VECTORS GOLD MINERS ETF ETF 92189F106 608 23767 SH SOLE 0 0 23767 VANGUARD DIVIDEND APPRECIATION INDEX FUND ETF 921908844 443 3850 SH SOLE 0 0 3850 VANGUARD FTSE DEVELOPED MARKETS ETF ETF 921943858 2296 55054 SH SOLE 0 0 55054 VANGUARD FTSE EMERGING MARKETS ETF ETF 922042858 4302 101157 SH SOLE 0 0 101157 VANGUARD GROWTH INDEX FUND ETF 922908736 801 4901 SH SOLE 0 0 4901 VANGUARD HEALTH CARE INDEX FUND ETF 92204A504 349 2005 SH SOLE 0 0 2005 VANGUARD HIGH DIVIDEND YIELD ETF ETF 921946406 758 8669 SH SOLE 0 0 8669 VANGUARD MATERIALS INDEX FUND ETF 92204A801 226 1763 SH SOLE 0 0 1763 VANGUARD MID-CAP INDEX FUND ETF 922908629 1641 9814 SH SOLE 0 0 9814 VANGUARD REAL ESTATE ETF ETF 922908553 1211 13855 SH SOLE 0 0 13855 VANGUARD S&P 500 ETF ETF 922908363 638 2372 SH SOLE 0 0 2372 VANGUARD SHORT-TERM BOND INDEX FUND ETF 921937827 1763 21893 SH SOLE 0 0 21893 VANGUARD SHORT-TERM CORPORATE BOND INDEX FUND ETF 92206C409 636 7882 SH SOLE 0 0 7882 VANGUARD SMALL-CAP VALUE INDEX FUND ETF 922908611 695 5324 SH SOLE 0 0 5324 VANGUARD TOTAL INTERNATIONAL BOND ETF ETF 92203J407 294 5136 SH SOLE 0 0 5136 VANGUARD TOTAL STOCK MARKET INDEX FUND ETF 922908769 840 5594 SH SOLE 0 0 5594 VANGUARD VALUE INDEX FUND ETF 922908744 769 6935 SH SOLE 0 0 6935 VERIZON COMMUNICATIONS INC COM Stock 92343V104 1285 22494 SH SOLE 0 0 22494 VISA INC COM CL A Stock 92826C839 316 1819 SH SOLE 0 0 1819 WALGREENS BOOTS ALLIANCE INC COM Stock 931427108 336 6151 SH SOLE 0 0 6151 WALMART INC COM Stock 931142103 875 7920 SH SOLE 0 0 7920 WASTE MGMT INC DEL COM Stock 94106L109 318 2755 SH SOLE 0 0 2755 WISDOMTREE EMERGING MARKETS LOCAL DEBT FUND ETF 97717X867 229 6470 SH SOLE 0 0 6470 WISDOMTREE U.S. MIDCAP DIVIDEND FUND ETF 97717W505 1013 27995 SH SOLE 0 0 27995