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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2020-04-14
TX RA APPROVED 2020-04-14
  • IA RA
    APPROVED
    Since 2020-04-14
  • TX RA
    APPROVED
    Since 2020-04-14

Branch Locations

11 E Howard St., Colfax, IA 50054 • United States

5335 Merle Hay Road, #5, Johnston, IA 50131 • 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
Central Financial Group Johnston IA 11/2010 Present
Ameritas Investment Corp Lincoln NE 02/2011 01/2017
Sii Huxley IA 01/2017 11/2018
Royal Alliance Associates, Inc. Johnston IA 11/2018 Present
Lpl Financial Llc Johnston IA 03/2020 Present
  • 11/2010 → Present
    Central Financial Group
    Johnston, IA
  • 02/2011 → 01/2017
    Ameritas Investment Corp
    Lincoln, NE
  • 01/2017 → 11/2018
    Sii
    Huxley, IA
  • 11/2018 → Present
    Royal Alliance Associates, Inc.
    Johnston, IA
  • 03/2020 → Present
    Johnston, IA
Previous Registrations
  • 2018-11-02 → 2020-04-17
    Johnston, IA
  • 2017-02-03 → 2018-11-02
    Signator Investors, Inc.
    Huxley, IA
    Huxley, IA
    Algona, IA
    Johnston, IA
  • 2013-10-24 → 2017-03-03
    Ameritas Investment Company, Llc
    W Des Moines, IA
    Huxley, IA
Other Businesses

1)04/03/2020 - CLARITY FINANCIAL PLANNING - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 04/2020 2)04/03/2020 - Non-Variable Insurance - inv rel - at reported business location(s) - start: 2008 - 25 hr/mth 3)04/03/2020 - Central Financial Group - Non-Variable Insurance - inv rel - at reported business location(s) - 25 hr mth

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-10-08
S63 Uniform Securities Agent State Law Examination 2011-03-24
  • S65 Uniform Investment Adviser Law Examination
    2013-10-08
  • S63 Uniform Securities Agent State Law Examination
    2011-03-24
Other Names
  • Clayton Cheney

View on SEC IAPD

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