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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2024-03-14
TX RA APPROVED 2024-03-14
  • IA RA
    APPROVED
    Since 2024-03-14
  • TX RA
    APPROVED
    Since 2024-03-14

Branch Locations

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

Hillsboro, IA • United States

Hillsboro, IA • 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
Broker Dealer Financial Service Co West Des Moines IA 07/2016 10/2018
Cambridge Investment Research, Inc. Pilot Grove IA 10/2018 03/2024
Cambridge Investment Research Advisors, Inc. Fairfield IA 10/2018 03/2024
Lpl Financial Llc Hillsboro IA 03/2024 Present
Previous Registrations
  • 2018-10-20 → 2024-03-21
    Fairfield, IA
    Keokuk, IA
    Packwood, IA
    Pilot Grove, IA
    West Point, IA
    Winfield, IA
    West Burlington, IA
    Donnellson, IA
    Houghton, IA
    Ft Madison, IA
    Fairfield, IA
    Byron Center, MI
    Hillsboro, IA
    Nunica, MI
  • 2016-07-22 → 2018-10-20
    Investment Advisors Corp
    Mt. Pleasant, IA
    Pilot Grove, IA
  • 2013-05-13 → 2016-06-28
    Fairfield, IA
Other Businesses

1) 01/2024 - Prairie Rose Wealth Management / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s)160 Hrs per month / 90% Time Spent 2) 01/2024 - AGRICULTURE, HILLSBORO, IA / Owner - Farm / Business Owner / Not Inv. Related / Hillsboro, IA / Start date 01/01/2015 - 5 Hrs per month - 5% Time Spent 3) 01/2024 - IA Lee County / Owner - Farm / Business Owner / Not Inv. Related / Lee County, IA / Start date 06/01/2016 - 4) 01/2024 - Van Buren County, IA / Owner / Business Owner / Not Inv. Related / Hillsboro, IA / Start date 11/01/2018 - 10 Hrs per month - 5% Time Spent 5) 01/2024 - E4 Insurance Services / Non-Variable Insurance / Inv. Related / Verona, WI / Start date 10/01/2022 - 10 Hrs per month - 5 % Time Spent - 1 hrs per month 6) 04/25/2024 - Sharon Presbyterian Chruch In Farmington, IA - Non-Profit Board Member - Elder - Not Investment Related - 1302 160th St Farmington IA 52626 - Start Date 02/29/2024 - 1 Hour Per Month

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-05-10
  • S66 Uniform Combined State Law Examination
    2013-05-10
Designations

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