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Kenneth Alexander Tipping

LPl Financial LLC

West Des Moines, IA

Florence, AZ

CRD 3185303

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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:

Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2025-04-14
TX RA APPROVED_RES 2020-10-09
IA RA APPROVED 2006-03-21
  • AZ RA
    APPROVED
    Since 2025-04-14
  • TX RA
    APPROVED_RES
    Since 2020-10-09
  • IA RA
    APPROVED
    Since 2006-03-21

Branch Locations

6402 Orchard Drive, West Des Moines, IA 50266 • United States

Florence, AZ • 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
Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.) West Des Moines IA 04/2004 Present
  • 04/2004 → Present
    Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)
    West Des Moines, IA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-03-20
S63 Uniform Securities Agent State Law Examination 1999-04-09
  • S66 Uniform Combined State Law Examination
    2006-03-20
  • S63 Uniform Securities Agent State Law Examination
    1999-04-09
Other Names
  • Kenneth Tipping

View on SEC IAPD

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PRINCIPAL SECURITIES, INC.
COMMONWEALTH FINANCIAL NETWORK
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Nearby Investors

DANIEL ALEXANDER ALLEN
JENNIE JEAN HENRY
PATRICK JOSEPH BYRNE

Nearby Offices

PRINCIPAL SECURITIES, INC. · West Des Moines, IA
COMMONWEALTH FINANCIAL NETWORK · West Des Moines, IA
PRINCIPAL SECURITIES, INC. · WEST DES MOINES, IA

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