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Craig Schlueter
Risk and Trading Specialist at Nations Financial Group Inc. /ia/ /adv
About
Craig Schlueter is a Risk and Trading Specialist at Nations Financial Group, Inc., based in Cedar Rapids, Iowa, where he is responsible for risk management and trading operations within the firm. His role entails overseeing trade execution, monitoring compliance, and managing risk exposure across various investment portfolios, with a particular focus on equities, options, and other traded securities.
Craig’s expertise spans risk assessment, options trading, and operational oversight, developed through his prior experience as the Trade and Options Principal at Berthel Fisher Companies and as an Investment Consultant at Scottrade. His career demonstrates a consistent focus on capital markets, regulatory compliance, and options strategies, positioning him as a specialist in managing both retail and institutional trading activities within broker-dealer and investment advisory sectors.
He holds a BBA in Finance and Management with a minor in Economics from Mount Mercy University and maintains FINRA Series 4, 7, 24, 63, and 66 licenses, underscoring his technical proficiency and regulatory credentials. Schlueter is recognized for his contributions to risk mitigation frameworks and ensuring smooth, compliant trading operations in multi-asset environments, supporting both advisors and clients at Nations Financial Group.
Career History
| Organization | Role | Date Range | Details |
|---|---|---|---|
| Nations Financial Group, Inc | Risk and Trading Specialist | Dec 2021 to Present | Registered representative of and securities and investment advisory services offered through Nations Financial Group, Inc. (“NFGI”), 3925 Fountains Blvd Cedar Rapids, IA 52411, member FINRA/SIPC, a Re... |
| Berthel Fisher Companies | Trade and Options Principal | Feb 2016 to Dec 2021 | — |
| Scottrade | Investment Consultant | Oct 2012 to Feb 2016 | ● Conduct client portfolio reviews ● Produce sales & activity reports ● Perform monthly audit review ● Handle all branch technological issues, perform system upgrades and ensure all systems are up to ... |
| GoDaddy.com | Hosted Exchange and SSL Specialist | Jun 2011 to Oct 2012 | ● Provide technical support to high value clients, specializing in server, email and ecommerce security ● Consult with clients about their websites and provide solutions to help reach their goals ● As... |
| Scottrade | Intern | May 2010 to Jun 2011 | ● Assist clients with completing required documents to ensure compliance with SEC regulations ● Provide technical support to all web users ● Help branch associates complete daily tasks |
| Mount Mercy University | Student Government Association (SGA)President | Jan 2010 to Jan 2011 | — |
Education
Mount Mercy University
BBA, Finance and Management, Minor: Economics
2007 — 2011
Skills & Expertise
Others at Nations Financial Group Inc. /ia/ /adv (2)
| Name | Role | Location |
|---|---|---|
A Aaron Tank | Trading and Risk Specialist | Cedar Rapids, IA , United States |
C Crystal Walter | Trading and Risk Specialist | Cedar Rapids, IA , United States |
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