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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-03-23 |
| IA | RA | APPROVED | 2024-07-08 |
Branch Locations
205 West Penn Street, North Liberty, IA 52317 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Investment Centers Of America | Coralville | IA | 02/2006 | 11/2017 |
| Peoples Capital Mangement | Washington | IA | 04/2014 | 07/2024 |
| Lpl Financial Llc | Washington | IA | 11/2017 | 07/2024 |
| Commonwealth Financial Network | Waltham | MA | 07/2024 | Present |
| Peoples Financial Planning | Washington | IA | 07/2024 | Present |
1.Fixed insurance sales; Located in North Liberty, IA, as of 11/01/2023, 10% time spent during business hours; Conducted at branch location; Investment related. 2.Owner, MLP Insurance; a private entity established to facilitate securities, advisory, and insurance business; Located in North Liberty, IA, as of 05/02/2024, 85% time spent during business hours; Conducted at branch location; Investment related. 3.Owner, LJP Management LLC, an entity created for the purpose of managing real estate, 3 rental properties located at 480 Watts Ct North Liberty, IA and 205 Penn St North Liberty, IA and 120 E Madison St Washington, IA, as of 01/01/2018; 2% of time spent during business hours; Not Conducted at branch; Investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-05-20 |
| S63 | Uniform Securities Agent State Law Examination | 2002-12-23 |
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