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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

ROCHELLE MARIE HENRY ERNBERGER

Advisor at NATIONS FINANCIAL GROUP, INC.

CEDAR RAPIDS, IA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f0bd449f-8722-24f2-6f28-0b4dd9412005

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Feb 17, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NATIONS FINANCIAL GROUP, INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 1
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Sep 1, 1992
First registration: Feb 17, 2006
Dual registered: yes, broker-dealer
Other names: ROCHELLE MARIE HENRY|SHELLY HENRY|ROCHELLE MARIE ERNBERGER|ROCHELLE MARIE HENRYERNBERGER
IAPD individual key: 2239740

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NATIONS FINANCIAL GROUP, INC.	Independent wealth	Sep 30, 2011	n/a	yes	CEDAR RAPIDS, IA	Current employment
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Feb 17, 2006	Oct 28, 2011	no	Vinton, IA\|Amana, IA\|Cedar Rapids, IA\|Cedar Rapids, IA\|Marion, IA\|CEDAR RAPIDS, IA\|CEDAR RAPIDS, IA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
U.S. BANCORP INVESTMENTS, INC.	NATIONS FINANCIAL GROUP, INC.	Oct 28, 2011	Sep 30, 2011	-28	Firm change	Other

Relationships

Registered with (2)

→ NATIONS FINANCIAL GROUP, INC.Registered adviserregistration: current employment
Sep 30, 2011 to presentfactForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Feb 17, 2006 to Oct 28, 2011factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f0bd449f-8722-24f2-6f28-0b4dd9412005
First observed: Feb 17, 2006
Last observed: Sep 14, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ROCHELLE MARIE HENRY ERNBERGER

Advisor at NATIONS FINANCIAL GROUP, INC.

CEDAR RAPIDS, IA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:f0bd449f-8722-24f2-6f28-0b4dd9412005

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:14 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

NATIONS FINANCIAL GROUP, INC.

Independent wealth

Sep 30, 2011

n/a

yes

CEDAR RAPIDS, IA

Current employment

U.S. BANCORP INVESTMENTS, INC.

Former SEC adviser

Feb 17, 2006

Oct 28, 2011

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

U.S. BANCORP INVESTMENTS, INC.

NATIONS FINANCIAL GROUP, INC.

Oct 28, 2011

Sep 30, 2011

-28

Firm change

Other