Barry G. Waugh

FBL WEALTH MANAGEMENT

West Des Moines, IA 50266

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CRD#: 2330212

Professional summary

Barry Gene Waugh, who also goes by Barry Gene Waugh, is a registered financial advisor currently at FBL WEALTH MANAGEMENT, LLC located in West Des Moines, Iowa and FBL MARKETING SERVICES, LLC located in West Des Moines, Iowa.

Barry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Barry has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Barry Gene Waugh

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) Plumbous Zephyr LLC; Not investment related; 1102 Kodi Circle, Fairfield, IA 52556; President; 04/01/2018; 1 hrs/mo; 0 hrs during trading; Collect rent from KBKW Inc - DBA Adela's. 2) Iowa Prep Baseball; Not Investment Related; 6417 Mott Ave, Windsor Heights, IA, 50324, United States; Prepare athletes for High School baseball; Volunteer Board Member; Start 6/17/2025; 20 hours per month; 0 hours per month during trading hours; Other Compensation; As a voluntary Board Member my son, Kerrick, may receive a reduction in fees for the season. Amount is approximately $1250 to $2500.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Gene Waugh'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 21, 2022 - Present

FBL WEALTH MANAGEMENT, LLC

Office #1: 5400 University Ave, West Des Moines, IA 50266

RIA

CRD#: 291396

West Des Moines, IA

Current

November 18, 2022 - Present

FBL MARKETING SERVICES, LLC

Office #1: 5400 University Ave, West Des Moines, IA 50266

CRD#: 5309

West Des Moines, IA

Past

April 18, 2017 - October 20, 2022

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Fairfield, IA

Past

November 1, 2011 - October 20, 2022

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FAIRFIELD, IA

Past

April 5, 1993 - December 14, 1994

N.I.S. FINANCIAL SERVICES, INC.

CRD#: 5361

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".

FBL WEALTH MANAGEMENT, LLC

CRD#: 291396 / SEC#: 801-113458

RIA

Registered Investment Advisory firm - (6/18/2018 Approved)

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
(11/18/2022)

IAR

Iowa
(12/21/2022)

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 66

Date: 4/17/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/8/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/31/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/2/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/8/2013

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FBL WEALTH MANAGEMENT, LLC

CRD#: 291396 / SEC#: 801-113458

RIA

Registered Investment Advisory firm - (6/18/2018 Approved)

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Contact information

Main Address

5400 University Avenue, West Des Moines, IA 50266

Mailing Address

Phone number

(515) 225-5400

Established

Firm type

Fiscal year end

# of Employees

177

SEC notice filing (45 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FBL WEALTH MANAGEMENT, LLC - FORM ADV PART 2A APPENDIX 1 WRAP FEE BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 8,654,949

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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Advisor Monitoring

Firm Stability Insights

Barry G. Waugh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barry Gene Waugh's CRS (Customer Relationship Summary).

Certified licenses

Experience

FBL MARKETING SERVICES, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

N.I.S. FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

FBL WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/17/2017

Series 63

Date: 4/8/1993

SIE

Date: 10/1/2018

Series 7

Date: 10/31/2011

Series 6

Date: 4/2/1993

Series 24

Date: 4/8/2013

FINRA

Current Firm

FBL WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (45 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FBL WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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