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Current Employers
Compass Financial Services

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-02-05
IA RA APPROVED 2019-08-13
  • TX RA
    APPROVED
    Since 2021-02-05
  • IA RA
    APPROVED
    Since 2019-08-13

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 11/2018 03/2019
Mcpherson College Mcpherson KS 03/2012 07/2018
Lpl Financial, Llc West Des Moines IA 11/2018 Present
Unemployed Earlham IA 08/2018 10/2018
Compass Financial Services West Des Moines IA 07/2019 Present
  • 11/2018 → 03/2019
    West Des Moines, IA
  • 03/2012 → 07/2018
    Mcpherson College
    Mcpherson, KS
  • 11/2018 → Present
    Lpl Financial, Llc
    West Des Moines, IA
  • 08/2018 → 10/2018
    Unemployed
    Earlham, IA
  • 07/2019 → Present
    West Des Moines, IA
Other Businesses

1. 4/29/2019 - COMPASS FINANCIAL SERVICES INC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 11/11/2019 - Brokers Clearing House - Investment related - At reported business location(s) - Non-Variable Insurance - start date:09/02/2019 - 5 hrs/mo - 5 hrs during trading. 3. 2/5/2020 - Compass Financial Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 07/31/2019 - 50 Hours Per Month During Securities Trading - I provide investment advisory services through Compass Financial Services, an independent investment advisor firm. I started this business activity in 07/2019. I expect to spend approximately 50 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. 4. 12/03/2021 - Waukee Community School District - Not Investment Related - 655 N 10th St, Waukee, IA 50263 - Outside/W-2 Employment - Start Date: 08/03/2020 - 32 Hours Per Month/0 Hours During Securities Trading - Assistant Football Coach.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-07-17
  • S66 Uniform Combined State Law Examination
    2019-07-17

View on SEC IAPD

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