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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2020-04-14
TX RA APPROVED 2020-04-14
  • IA RA
    APPROVED
    Since 2020-04-14
  • TX RA
    APPROVED
    Since 2020-04-14

Branch Locations

11 E Howard St., Colfax, IA 50054 • United States

5335 Merle Hay Road, #5, Johnston, IA 50131 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameritas Investment Corp Lincoln NE 09/2006 02/2017
Central Financial Group W Des Moines IA 09/2006 Present
D.R.T. Holdings Llc Centerville IA 07/2006 Present
B&K Machining Llc Centerville IA 11/2005 Present
Sii West Des Moines IA 02/2017 11/2018
Royal Alliance Associates, Inc. Johnston IA 11/2018 04/2020
Lpl Financial Llc Johnston IA 04/2020 Present
  • 09/2006 → 02/2017
    Ameritas Investment Corp
    Lincoln, NE
  • 09/2006 → Present
    Central Financial Group
    W Des Moines, IA
  • 07/2006 → Present
    D.R.T. Holdings Llc
    Centerville, IA
  • 11/2005 → Present
    B&K Machining Llc
    Centerville, IA
  • 02/2017 → 11/2018
    Sii
    West Des Moines, IA
  • 11/2018 → 04/2020
    Royal Alliance Associates, Inc.
    Johnston, IA
  • 04/2020 → Present
    Johnston, IA
Previous Registrations
  • 2018-11-02 → 2020-04-16
    Johnston, IA
  • 2017-02-22 → 2018-11-02
    Signator Investors, Inc.
    Johnston, IA
    West Des Moines, IA
    Algona, IA
Other Businesses

1)04/02/2020 - CLARITY FINANCIAL PLANNING - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 04/202 2)04/02/2020 - Non-Variable Insurance - inv rel - at reported business location(s) - start: 2007 - 25 hr/mth 3)04/02/2020 - Central Financial Group - Non-Variable Insurance - inv rel - at reported business location(s) - start: 2007 - 25 hr/mth 4) 04/02/2020 - D.R.T. HOLDINGS LLC - Business Entity For Tax/Investment Purposes Only - inv rel - Centerville, IA - start: 07/2006 - 5 hr/mth 5)04/02/2020 - B&K MACHINING LLC - Business owner, machine shop - non-inv rel - Centerville, IA - start: 11/2005 - 34 hr/mth 6) 08/10/2021 - No Business Name - Investment Related - At Reported Business Location(s) - Other-Notary Public - Start Date: 07/15/2021 - 1 Hour Per Month/1 Hour During Securities Trading - Notary for the state of Iowa.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-04-30
S63 Uniform Securities Agent State Law Examination 1997-12-05
  • S65 Uniform Investment Adviser Law Examination
    2015-04-30
  • S63 Uniform Securities Agent State Law Examination
    1997-12-05
Other Names
  • Rick Kiel
  • Rc Kiel
  • Ricky C. Kiel

View on SEC IAPD

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