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Cody Ray Fredrickson

LPl Financial LLC

Topeka, KS

Topeka, KS

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
KS RA APPROVED 2022-05-18
  • KS RA
    APPROVED
    Since 2022-05-18

Branch Locations

1080 Sw Wanamaker Rd, Topeka, KS 66604 • United States

610 Sw 10Th Ave, Topeka, KS 66612 • 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
Cuna Brokerage Services, Inc Waverly IA 02/2016 Present
Cuna Mutual Group Waverly IA 02/2016 Present
Lpl Financial Llc Topeka KS 05/2022 Present
  • 02/2016 → Present
    Cuna Brokerage Services, Inc
    Waverly, IA
  • 02/2016 → Present
    Cuna Mutual Group
    Waverly, IA
  • 05/2022 → Present
    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
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-02-28
S63 Uniform Securities Agent State Law Examination 1994-08-29
  • S65 Uniform Investment Adviser Law Examination
    1995-02-28
  • S63 Uniform Securities Agent State Law Examination
    1994-08-29

View on SEC IAPD

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