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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2017-11-29
TX RA APPROVED_RES 2017-11-29
  • IA RA
    APPROVED
    Since 2017-11-29
  • TX RA
    APPROVED_RES
    Since 2017-11-29

Branch Locations

309 W Walnut St, Ogden, IA 50212 • United States

1608 S Duff Ave Suite 400, Ames, IA 50010 • United States

111 N Commercial Ave, Eagle Grove, IA 50533 • United States

Boone, IA • 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
Investment Centers Of America, Inc. Ogden IA 09/1989 11/2017
Lpl Financial Llc Ogden IA 11/2017 Present
  • 09/1989 → 11/2017
    Investment Centers Of America, Inc.
    Ogden, IA
  • 11/2017 → Present
    Ogden, IA
Previous Registrations
  • 1997-08-07 → 2017-12-05
    Investment Centers Of America, Inc.
    Ogden, IA
    Eagle Grove, IA
    Ogden, IA
    Ames, IA
    Appleton, WI
Other Businesses

1. 11/29/2017 - GOOD ONE, LLC - Not Investment Related - 311 W Walnut St Ogden, IA 50212. PO Box 664 - Real Estate Rental - CO-OWNER OF OFFICE BUILDING - Start Date 01/2016 - 1 Hours Per Month. 2. 11/29/2017 - GoodWealth Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 09/2017. 3. 11/29/2017 - KWB ADVISORS, INC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - President - KWB ADVISORS, INC: Business entity for tax/investment purposes. 4. 12/7/2017 - GoodWealth Financial Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 9/2017. 5. 12/7/2017 - GoodWealth - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 9/2017. 6. 7/11/2019 - GoodWealth Financial, Inc. - DBA: GoodWealth Financial - Investment Related - At Reported Business Location(s) - Insurance Agency - Insurance Agent - Started 12/04/2017 - 20 Hours Per Month During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-08-12
S63 Uniform Securities Agent State Law Examination 1987-06-16
  • S65 Uniform Investment Adviser Law Examination
    1998-08-12
  • S63 Uniform Securities Agent State Law Examination
    1987-06-16

View on SEC IAPD

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