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Current Employers
Compass Financial Services

4801 Westown Parkway, West Des Moines, IA 50266 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2022-09-23
  • IA RA
    APPROVED
    Since 2022-09-23

Branch Locations

4801 Westown Parkway, 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
Compass Financial Services West Des Moines IA 06/2021 Present
Compass Financial Services West Des Moines IA 03/2021 05/2021
Northwestern College Orange City IA 08/2017 04/2021
Unity Christian High Orange City IA 08/2013 04/2017
Farmers Coop Society Sioux Center IA 01/2017 04/2021
5A Transfer Sioux Center IA 01/2017 04/2021
Down To Earth Lawncare Sioux Center IA 04/2014 01/2017
Lpl Financial, Llc West Des Moines IA 07/2021 Present
  • 06/2021 → Present
    West Des Moines, IA
  • 03/2021 → 05/2021
    West Des Moines, IA
  • 08/2017 → 04/2021
    Northwestern College
    Orange City, IA
  • 08/2013 → 04/2017
    Unity Christian High
    Orange City, IA
  • 01/2017 → 04/2021
    Farmers Coop Society
    Sioux Center, IA
  • 01/2017 → 04/2021
    5A Transfer
    Sioux Center, IA
  • 04/2014 → 01/2017
    Down To Earth Lawncare
    Sioux Center, IA
  • 07/2021 → Present
    Lpl Financial, Llc
    West Des Moines, IA
Other Businesses

1) 2/2022- COMPASS FINANCIAL SERVICES INC- DBA for LPL Business (entity for LPL business)- inv. related- West Des Moines, IA 2) 02/09/2022 - Compass Financial Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Registered Admin - Start Date: 07/26/2021 - 170 Hours Per Month - Time Spent 100% - I provide administrative support to Compass Financial Services, an independent investment advisor firm. I started this business activity in 7/2021. I expect to spend approximately 170 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3) 03/13/2025 - Amazon - Not Investment Related - Other - Non-Securities Related Outside/1099 Employ - Ankeny, IA, - Start Date:02/13/2025 - 8 Hrs/Mth - 0 Hrs During Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-05-20
  • S66 Uniform Combined State Law Examination
    2022-05-20

View on SEC IAPD

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