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Todd Anthony Sanftner

LPl Financial LLC

West Des Moines, IA

CRD 3116689

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2001-11-08
  • IA RA
    APPROVED
    Since 2001-11-08

Branch Locations

6600 Westown Pkwy Ste 260, West Des Moines, IA 50266 • 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
Lpl Financial, Llc West Des Moines IA 10/2000 Present
Other Businesses

1. 1/9/2002 - DBA ONLY - ASPEN FINANCIAL SERVICES, INC. - WEST DES MOINES, IA.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-11-08
S65 Uniform Investment Adviser Law Examination 1999-05-12
S63 Uniform Securities Agent State Law Examination 1998-10-16
  • S66 Uniform Combined State Law Examination
    2001-11-08
  • S65 Uniform Investment Adviser Law Examination
    1999-05-12
  • S63 Uniform Securities Agent State Law Examination
    1998-10-16

View on SEC IAPD

Nearby Firms

PRINCIPAL SECURITIES, INC.
COMMONWEALTH FINANCIAL NETWORK
FOSTER GROUP, INC.

Nearby Investors

DANIEL ALEXANDER ALLEN
JENNIE JEAN HENRY
PATRICK JOSEPH BYRNE

Nearby Offices

PRINCIPAL SECURITIES, INC. · West Des Moines, IA
COMMONWEALTH FINANCIAL NETWORK · West Des Moines, IA
PRINCIPAL SECURITIES, INC. · WEST DES MOINES, IA

More in West Des Moines, IA

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