Gregory G. Giles, J.D.

Gregory G. Giles, J.D.

Vice President

505 5th Street #100
P.O. Box 5014
Sioux City, IA 51101
(Located inside Heritage Bank)

Gregory G. Giles is an Investment Advisor Representative of RDA Financial Network, Inc. He does business as Legacy Financial LLC. Legacy Financial LLC and RDA Financial Network are not affiliated.


Statement to Clients:

A 5th-generation Midwesterner (my maternal great-great-grandparents settled near Sgt. Bluff, Iowa in the late 1850s), I learned early on the value of financial planning, and became an advisor to translate my passion for the markets into a means by which to help clients secure their financial futures. My aim, working with clients in a multi-generational approach, is to create financial plans which mesh with their existing estate and tax planning outlooks, and to help them achieve a secure retirement.

After 25+ years in the entertainment industry, I joined the financial services field in late 2014. If you are seeking a financial advisor with whom you can feel comfortable discussing your retirement plans, and the many components which comprise your goals, please contact me. I am currently accepting new clients desiring a personable, purposeful wealth management experience. An initial consultation is always complimentary.


Business Background:

  • RDA Financial Network, Inc.
    • Investment Advisor Representative 2017 - Present
  • Legacy Financial LLC
    • Vice President 2017 - Present
  • United Planners Financial Services
    • Registered Representative 2017 - Present
  • Robert W. Baird & Co., Inc.
    • Investment Advisor Representative
    • Registered Representative 2015 - 2016
  • Self-Employed
    • Freelance Entertainment Professional 1989 - 2014
  • Giles Law Office
    • Associate Attorney-at-Law 1988 - 1989

Designations/Licenses:

  • Series 7 and 66
  • Life Insurance, Health Insurance, and Variable Products

Education:

  • Brown University, Bachelor of Arts, American Civilization/Anthropology, 1984
  • University of South Dakota, Juris Doctorate, Law, 1988
  • University of South Dakota, Master of Arts, Theatre, 1989

Disciplinary Information:

  • Gregory has no disciplinary information history to disclose.

Other Business Activities:

  • Broker-Dealer

Gregory G. Giles is a registered representative of United Planners Financial Services, a registered broker-dealer (BD). In this capacity, Mr. Giles will be paid a commission for the sale of securities or other investment products, including service (trail) fees from the sale of mutual funds and variable annuities. If you elect to purchase securities through Mr. Giles in his role as a registered representative, this will not occur in advisory accounts of RDAFN but rather in brokerage accounts held at the BD. A conflict of interest may arise due to potential differences in the level of compensation received. To address this potential conflict, he will only receive commissions for the sale of securities or other investment products when selling securities through the BD, and not for accounts advised through RDAFN. You will always have the option to purchase securities or other investment products that he recommends through other unaffiliated BDs. Mr. Giles currently spends 20% of his time on these BD activities.

  • Insurance

Gregory G. Giles is licensed as an insurance agent in the State of Iowa. In this capacity Mr. Giles will be paid commissions for the sales of fixed insurance products. A conflict of interest may arise due to potential differences in the level of compensation received. You always have the option to purchase insurance products that he recommends through other unaffiliated insurance agencies or companies. Mr. Giles currently spends 15% of his business time on his insurance activities.

Other Outside Activities:

  • Green Gables Building Co, LLP - part owner, began 6-2015. Currently spends three hours per year.
  • Al-Mar Building Co, LLC - part owner, began 6-2015. Currently spends three hours per year.
  • Auditorium Shopping Area LLC - part owner, began 6-2015. Currently spends three hours per year.
  • Siouxland Estate Planning Council - Director, began 2-2016. Currently spends two hours per month.
  • Sioux City Community Theatre - Secretary, began 3-2016. Currently spends two hours per month.
  • Sioux City International Film Festival - Director, began 7-2016. Currently spends two hours per month.
  • Sioux City Community Schools' District Advisory Committee - Member, began 8-2016. Currently spends two hours per month.
  • Friends of Siouxland Public Media - Director, began 10-2016. Currently spends two hours per month.
  • Sioux City Public Museum - Trustee, began 2-2017. Currently spends two hours per month.

General Client Conflict Resolution:

Gregory Giles addresses conflicts with his other business activities by doing the following:
Mr. Giles must disclose any potential or actual conflicts of interest when dealing with clients.
Mr. Giles is subject to the following specific obligations when dealing with clients:

  • The duty to have a reasonble, independent basis for his investment and other financial advice;
  • The duty to ensure that all investment and financial advice is suitable to meeting the client’s individual objectives, needs, and circumstances; and,
  • A duty to be loyal to clients.

Additional Compensation:

  • RDA Financial Network and Gregory Giles may establish relationships with unaffiliated registered investment advisors that offer a variety of investment advisory programs and services that include asset management programs, separate account portfolio management programs, asset allocation programs, wrap fee programs, and financial planning services. If a client is referred to one of these unaffiliated registered investment advisors, RDA Financial Network and Mr. Giles may receive referral fees from the unaffiliated registered investment advisors. These arrangements will be described in these unaffiliated investment advisors' disclosure brochures and referral disclosure statements.

Supervision:

  • Gregory G. Giles is supervised by John W. Arthur, Registered Principal and President of RDA Financial Network, Inc.

John W. Arthur
2475 Coral Court, Suite A
Coralville, IA 52241
Phone: 319.626.3464
Fax: 319.626.3540
Email: jarthur@rdafn.com

Phone 712-587-8070
Fax 712-258-6633
Mobile Phone 323-363-0374