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Current Employers
Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-03-23
IA RA APPROVED 2024-07-08
  • TX RA
    APPROVED
    Since 2026-03-23
  • IA RA
    APPROVED
    Since 2024-07-08

Branch Locations

205 West Penn Street, North Liberty, IA 52317 • United States

120 E. Madison Street, Washington, IA 52353 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 02/2006 → 11/2017
    Investment Centers Of America
    Coralville, IA
  • 04/2014 → 07/2024
    Peoples Capital Mangement
    Washington, IA
  • 11/2017 → 07/2024
    Washington, IA
  • 07/2024 → Present
    Waltham, MA
  • 07/2024 → Present
    Peoples Financial Planning
    Washington, IA
Previous Registrations
  • 2017-11-29 → 2024-07-17
    Washington, IA
    Coralville, IA
  • 2006-02-27 → 2017-11-29
    Investment Centers Of America, Inc.
    Coralville, IA
    Washington, IA
    Coralville, IA
    Coralville, IA
    Davenport, IA
    Geneva, IL
    Coralville, IA
    Elburn, IL
    Moline, IL
    Rock Island, IL
    Albany, IL
    Hillsdale, IL
    Erie, IL
    Port Byron, IL
  • 2003-06-17 → 2006-03-24
    Eagle One Investments, Llc
    Williamsburg, IA
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-05-20
S63 Uniform Securities Agent State Law Examination 2002-12-23
  • S65 Uniform Investment Adviser Law Examination
    2003-05-20
  • S63 Uniform Securities Agent State Law Examination
    2002-12-23

View on SEC IAPD

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