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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2022-12-08
TX RA APPROVED 2022-12-08
  • IA RA
    APPROVED
    Since 2022-12-08
  • TX RA
    APPROVED
    Since 2022-12-08

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

25 S Center St, Marshalltown, IA 50158 • 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
Sagepoint Financial Marshalltown IA 11/2014 12/2022
Central Iowa Capital Advisors Marshalltown IA 12/2022 Present
Lpl Financial Llc Marshalltown IA 12/2022 Present
  • 11/2014 → 12/2022
    Sagepoint Financial
    Marshalltown, IA
  • 12/2022 → Present
    Central Iowa Capital Advisors
    Marshalltown, IA
  • 12/2022 → Present
    Marshalltown, IA
Previous Registrations
  • 2014-12-11 → 2022-12-10
    Osaic Services, Inc.
    Marshalltown, IA
  • 2014-01-21 → 2014-11-26
    Marshalltown, IA
  • 2011-06-22 → 2014-01-21
    Cetera Investment Services Llc
    Marshalltown, IA
  • 2010-04-23 → 2011-06-28
    Spectrum Capital, Llc
    Marshalltown, IA
    Omaha, NE
    Omaha, NE
  • 2008-03-04 → 2010-05-11
    Ames, IA
    Marshalltown, IA
    Prairie City, IA
    Sully, IA
    Story City, IA
    Gladbrook, IA
    Grinnell, IA
    Newton, IA
    Eldora, IA
    Marshalltown, IA
    South Wayne, WI
    Fennimore, WI
    Darlington, WI
    Potosi, WI
    Jefferson, WI
    Menomonee Falls, WI
    Lancaster, WI
    Elkhorn, WI
    Bagley, WI
    East Troy, WI
    Prairie Du Chien, WI
    Oconto, WI
    Jefferson, WI
    Elkhorn, WI
    Menomonee Falls, WI
    Brodhead, WI
    Dickeyville, WI
    Jefferson, WI
  • 2006-08-09 → 2008-03-04
    Ifmg Securities, Inc.
    Fennimore, WI
    Prairie Du Chien, WI
    Bagley, WI
    Lancaster, WI
    Potosi, WI
    Darlington, WI
    South Wayne, WI
    Marshalltown, IA
    Gladbrook, IA
    Newton, IA
    Marshaltown, IA
    Marshalltown, IA
    Marshalltown, IA
    Eldora, IA
    Story City, IA
    Ames, IA
    Grinnell, IA
    Sully, IA
    Prairie City, IA
Other Businesses

1) 12/07/2022 - Central Iowa Capital Advisors - DBA for LPL Business (entity for LPL business) - Investment related - At reported business locations(s).

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-08-07
S63 Uniform Securities Agent State Law Examination 2003-12-13
  • S66 Uniform Combined State Law Examination
    2006-08-07
  • S63 Uniform Securities Agent State Law Examination
    2003-12-13

View on SEC IAPD

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