Joel H. Neubauer

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CRD#: 2793275

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.

Joel Herbert Neubauer was a registered financial professional .

Joel is a previously registered financial professional and started their career in finance in 1996. Joel had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 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.

The advisor shows no other business activity.

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 5, 2019 - July 13, 2020

FBL WEALTH MANAGEMENT, LLC

RIA

CRD#: 291396

West Des Moines, IA

Past

November 27, 2019 - July 13, 2020

FBL MARKETING SERVICES, LLC

CRD#: 5309

Sioux Falls, SD

Past

February 13, 2019 - November 8, 2019

FBL WEALTH MANAGEMENT, LLC

RIA

CRD#: 291396

West Des Moines, IA

Past

February 16, 2016 - February 8, 2019

EQUITRUST INVESTMENT MANAGEMENT SERVICES, INC.

RIA

CRD#: 5308

West Des Moines, IA

Past

December 10, 2015 - November 7, 2019

FBL MARKETING SERVICES, LLC

CRD#: 5309

WEST DES MOINES, IA

Past

February 23, 2007 - December 9, 2015

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

SIOUX FALLS, SD

Past

February 22, 2007 - December 9, 2015

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

SIOUX FALLS, SD

Past

March 24, 2006 - February 1, 2007

NYLIFE SECURITIES LLC

CRD#: 5167

SIOUX FALLS, SD

Past

August 18, 2004 - March 23, 2006

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

SIOUX FALLS, SD

Past

September 12, 1996 - March 23, 2006

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MINNEAPOLIS, MN

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.

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

IAR

Series 66

Date: 6/25/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/1/1996

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: 11/28/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/11/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/9/2003

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 7/7/2001

Investment Company Products/Variable Contracts Principal Examination

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

Joel H. Neubauer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FBL MARKETING SERVICES, LLC

FBL WEALTH MANAGEMENT, LLC

EQUITRUST INVESTMENT MANAGEMENT SERVICES, INC.

FBL MARKETING SERVICES, LLC

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

NYLIFE SECURITIES LLC

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

FBL WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/25/2003

Series 63

Date: 10/1/1996

SIE

Date: 10/1/2018

Series 7

Date: 11/28/2001

Series 6

Date: 9/11/1996

Series 24

Date: 7/9/2003

Series 26

Date: 7/7/2001

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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