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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-02-04 |
| IA | RA | APPROVED | 2023-11-17 |
Branch Locations
1717 8Th Ave N, Humboldt, IA 50548 • United States
2370 Nw 128Th St, Urbandale, IA 50323 • United States
1725 1St Ave S, Fort Dodge, IA 50501 • 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 |
|---|---|---|---|---|
| Principal Funds Distributor, Inc. | El Dorado Hills | CA | 02/2014 | 10/2017 |
| Sii | Fort Dodge | IA | 10/2017 | 11/2018 |
| Royal Alliance Associates, Inc. | Fort Dodge | IA | 11/2018 | 11/2023 |
| Lpl Financial Llc | Fort Dodge | IA | 11/2023 | Present |
1) 10/2023 - Full Swing Financial Planning LLC - DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) - 50hrs/month - 25% time spent 2) 10/2023 - Non-Variable Insurance - Non-Variable Insurance - Inv. Related - Fort Dodge, IA - Agent Selling Insurance- Start Date 11/1/2017 - 20hrs/month - 10% time spent 3) 10/2023 - Petersen Financial Planning LLC - Business Entity For Tax/Investment Purposes Only - Non-inv. Related - Fort Dodge, IA - Owner - Start Date 1/17/2023 - 50hrs/month - 25% time spent 4) 01/25/2024 - Real Estate Rental - Investment Related - Chicago, IL - Start Date 12/01/2023 - 1 Hour Per Month/ 0 Hours During Trading 5) 12/02/2024 - Petersen Financial Planning - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 11/27/2024 - 5 HOurs Per Month/ 1 Hour During Trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-02-22 |
| S63 | Uniform Securities Agent State Law Examination | 2011-04-14 |
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