Gary L. Winterhof

Some features on this profile are disabled

CRD#: 1512969

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Gary Lee Winterhof was a registered financial professional .

Gary is a previously registered financial professional and started their career in finance in 1986. Gary had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. 5/18/2010: LSB Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 75% - Sales and service of insurance for life, health and disability, annuities and LTC. 2. 6/23/2016: No Business Name - Investment Related - Aurelia, Iowa, Corydon, Iowa - Real Estate Rental - Started 10/01/2015 - 4 Hours Per Month/0 Hours During Securities Trading - 120 acres of bare farm ground. 3. 1/9/2018 - Lincoln Savings Bank - DBA: LSB Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/01/2017 - 160 Hours Per Month/7 Hours During Securities Trading. 4. 03/20/2018 - LSB Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 5. 12/07/2021 - LSB Capital Management, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 01/01/2022 - 8 Hours Per Month/1 Hour During Securities Trading - Time Spent 1% - I provide investment advisory services through LSB Capital Management, Inc., an independent investment advisor firm. I started this business activity in 12/2021. I expect to spend approximately 8 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.advisorinfo.sec.gov/IAPD. This firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 6, 2021 - March 31, 2022

LSB WEALTH MANAGEMENT

RIA

CRD#: 310466

Cedar Falls, IA

Past

December 18, 2009 - April 20, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

CEDAR FALLS, IA

Past

December 18, 2009 - April 20, 2022

LPL FINANCIAL LLC

CRD#: 6413

CEDAR FALLS, IA

Past

June 14, 2005 - December 18, 2009

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

CEDAR FALLS, IA

Past

June 18, 2003 - December 18, 2009

CETERA WEALTH SERVICES, LLC

CRD#: 13572

CEDAR FALLS, IA

Past

July 16, 1999 - June 19, 2003

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

CEDAR FALLS, IA

Past

May 1, 1998 - June 19, 2003

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

January 25, 1996 - May 26, 1998

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

January 24, 1992 - February 20, 1996

NATIONWIDE FUND DISTRIBUTORS LLC

CRD#: 25910

COLUMBUS, OH

Past

June 10, 1986 - September 12, 1991

CENTURY INVESTORS OF AMERICA, INC.

CRD#: 5322

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LSB WEALTH MANAGEMENT

LSB CAPITAL MANAGEMENT | LSB WEALTH MANAGEMENT | LSB CAPITAL MANAGEMENT, INC.

CRD#: 310466 / SEC#: 801-124725

RIA

Registered Investment Advisory firm - (4/25/2022 Approved)

Iowa

Registered Investment Advisory firm - (4/29/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/10/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/9/1986

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LSB WEALTH MANAGEMENT

LSB CAPITAL MANAGEMENT | LSB WEALTH MANAGEMENT | LSB CAPITAL MANAGEMENT, INC.

CRD#: 310466 / SEC#: 801-124725

RIA

Registered Investment Advisory firm - (4/25/2022 Approved)

Iowa

Registered Investment Advisory firm - (4/29/2022 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1375 Sw State Street, Ankeny, IA 50023

Mailing Address

Phone number

(515) 327-9922

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 AND 2B 092425 (9/24/2025)

WRAP BROCHURE 070125 (7/1/2025)

DIGITAL WRAP BROCHURE 070125 (7/1/2025)

Regulatory assets under management

Total Number of Accounts	567
AUM (Assets Under Management)	$ 173,002,714

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/21/2025	Cover Page	Report
08/25/2023	Cover Page	Report
12/21/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Gary L. Winterhof

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

THE LEADERS GROUP, INC.

NATIONWIDE FUND DISTRIBUTORS LLC

CENTURY INVESTORS OF AMERICA, INC.

Primary Firm SEC Registration

LSB WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 6/10/1986

SIE

Date: 10/1/2018

Series 6

Date: 6/9/1986

Current Firm

LSB WEALTH MANAGEMENT

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LSB WEALTH MANAGEMENT

TRUST BUT VERIFY

Similar Advisors