Annette J. Utterback

LSB WEALTH MANAGEMENT

Ankeny, IA 50023

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CRD#: 2136808

Professional summary

Annette Jeanblanc Utterback is a registered financial advisor currently at LSB WEALTH MANAGEMENT located in Ankeny, Iowa and LPL FINANCIAL LLC located in Ankeny, Iowa.

Annette is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Annette has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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. 11/8/2018 - LSB Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 2. 11/26/2021 - JRM Properties LLC - Investment Related - Ankeny IA 50023 - Real Estate Rental - Vice President - Started 05/23/2014 - 1 Hour Per Month/0 Hours During Securities Trading. 3. 12/7/2021 - LSB Capital Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 11/24/2021 - 80 Hours Per Month/4 Hours During Securities Trading - Time Spent 50% - I provide investment advisory services through LSB Capital Management, LLC, an independent investment advisor firm. I started this business activity in 11/2021. I expect to spend approximately 80 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. 4. 12/8/2021 - LSB Capital Management, Inc. - DBA: LSB Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 12/01/2021 - 80 Hours Per Month/4 Hours During Securities Trading - Time Spent 50% - 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 80 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. 5. 12/9/2021 - LSB Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/07/2018 - 80 Hours Per Month/4 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Annette Jeanblanc Utterback's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

December 6, 2021 - Present

LSB WEALTH MANAGEMENT

Office #1: 1375 State Street, Ankeny, IA 50023

RIA

CRD#: 310466

Ankeny, IA

Current

November 8, 2018 - Present

LPL FINANCIAL LLC

Office #1: 1375 Sw State St, Ankeny, IA 50023

RIA

CRD#: 6413

Ankeny, IA

Past

November 8, 2018 - September 29, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

CLIVE, IA

Past

March 10, 2014 - January 3, 2018

INVESTMENT ADVISORS CORP

RIA

CRD#: 117531

WEST DES MOINES, IA

Past

March 10, 2014 - January 3, 2018

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

WEST DES MOINES, IA

Past

March 31, 2006 - August 8, 2013

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

DES MOINES, IA

Past

December 1, 2001 - August 8, 2013

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

DES MOINES, IA

Past

April 11, 1991 - December 1, 2001

FIRSTAR INVESTMENT SERVICES,INC.

CRD#: 14536

MORRIS PLAINS, NJ

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Iowa
(11/8/2018)

IAR

Iowa
(12/6/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/30/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/9/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/3/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/19/1993

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/9/1991

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

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)

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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.

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Annette J. Utterback

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Annette Jeanblanc Utterback's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INVESTMENT ADVISORS CORP

BROKER DEALER FINANCIAL SERVICES CORP.

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

FIRSTAR INVESTMENT SERVICES,INC.

Primary Firm SEC Registration

LSB WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/2006

Series 63

Date: 4/9/1991

SIE

Date: 1/3/2018

Series 7

Date: 3/19/1993

Series 6

Date: 4/9/1991

FINRA

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

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