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Kay Lynn Mickelson

Commonwealth Financial Network

West Des Moines, IA

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Current Employers
Commonwealth Financial Network

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2022-08-09
  • IA RA
    APPROVED
    Since 2022-08-09

Branch Locations

6701 Westown Parkway Suite 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
Principal Life Insurance Company West Des Moines IA 07/2016 08/2022
Principal Securities Inc West Des Moines IA 08/2016 08/2022
Bral Niedert Private Wealth Advisors West Des Moines IA 08/2016 Present
Commonwealth Financial Network San Diego CA 08/2022 Present
  • 07/2016 → 08/2022
    Principal Life Insurance Company
    West Des Moines, IA
  • 08/2016 → 08/2022
    Principal Securities Inc
    West Des Moines, IA
  • 08/2016 → Present
    Bral Niedert Private Wealth Advisors
    West Des Moines, IA
  • 08/2022 → Present
    Commonwealth Financial Network
    San Diego, CA
Previous Registrations
Other Businesses

Fixed insurance sales; as of 04/22/2022; Less than 10% of time spent during business hours; Conducted at branch location; Investment related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-07-21
  • S66 Uniform Combined State Law Examination
    2015-07-21
Other Names
  • Kay Lynn Schroeder
  • Kay L Schroeder

View on SEC IAPD

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PRINCIPAL SECURITIES, INC.
FOSTER GROUP, INC.
KSA PARTNERS, LLC
LPL FINANCIAL LLC
ARETE WEALTH ADVISORS, LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
PARK AVENUE SECURITIES LLC
WELLS FARGO CLEARING SERVICES, LLC

Other Investors

DANIEL ALEXANDER ALLEN
JENNIE JEAN HENRY
PATRICK JOSEPH BYRNE
EDDIE RAY COLEMAN
JAMES LAWRENCE LUMLEY
CONOR J BOFFELI
Signe Olson
ANDREW JAY HIMELSON

Other Offices

PRINCIPAL SECURITIES, INC. · West Des Moines, IA
PRINCIPAL SECURITIES, INC. · WEST DES MOINES, IA
FOSTER GROUP, INC. · WEST DES MOINES, IA
KSA PARTNERS, LLC · WEST DES MOINES, IA
LPL FINANCIAL LLC · WEST DES MOINES, IA
ARETE WEALTH ADVISORS, LLC · WEST DES MOINES, IA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WEST DES MOINES, IA
PARK AVENUE SECURITIES LLC · West Des Moines, IA

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