Cody Ray Fredrickson

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2016 → Present
  Cuna Brokerage Services, Inc
  Waverly, IA
• 02/2016 → Present
  Cuna Mutual Group
  Waverly, IA
• 05/2022 → Present
  Lpl Financial Llc
  Topeka, KS

Previous Registrations

• 2016-02-10 → 2022-05-18
  Cuna Brokerage Services, Inc.
  Waverly, IA
  Topeka, KS
• 2012-11-19 → 2016-01-21
  Questar Asset Management, Inc.
  Minneapolis, MN
  Lawrence, KS

Other Businesses

1. 05-18-2022-Azura Wealth Management-- Investment Related- AT Reported Business Location(s)- DBA for LPL Business (entity for LPL business)-

Exams

• S65 Uniform Investment Adviser Law Examination
  1995-02-28
• S63 Uniform Securities Agent State Law Examination
  1994-08-29