LH
Lloyd D. Hodgin
WEALTH PLUS OF THE DAKOTAS
Aberdeen, SD 57401
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CRD#: 2954267
LH
Professional summary
Lloyd Douglas Hodgin is a registered financial advisor currently at WEALTH PLUS OF THE DAKOTAS, INC. located in Aberdeen, South Dakota.
Lloyd is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Lloyd has worked at 6 firms and has passed the Series 65, Series 66, SIE, Series 7, Series 6, Series 24 and Series 26 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)Wealth Plus of the Dakotas, Inc.;Investment related;405 8th Ave NW #208 Suite A, Aberdeen, SD 57491; RIA firm provides IAR services to clients; President, IAR; start date 02/2017; 40 hrs/month; 40 hrs/month during trading hours; Provides IAR services to clients. 2)Premier Tax and Bookkeeping; non-investment related; 405 8th Ave NW #311 Aberdeen, SD 57401; Preparations of Tax returns & Commercial bookkepping; role Vice President & 50% owner; start date 02/2010; 20 hours a month more during tax season; 20 hours a month during trading hours; Tax preparations and supervision of tax preparers. 3)Dakota Financial Services, Inc; non-investment realted;405 8th Ave. NW #208 Aberdeen, SD 57401 also 10 locations; Employs P&C insurance agents and CSR's w/in Credit Unions to service & sell to their members. Do business as DFS insurance; Vice President; start 01/2000; 5 hours per month, 5 hour per month during trading hours; Lloyd is VP and doesn't participate in any selling activities. 4) Dakota Financial Services; investment related;405 8th Ave NW #208; As DBA provides all B/D products & Fixed Insurance products for Life, LTC, Disability & Fixed Annuities,; Owner; start 01/2000; 80 hours per month; 80 per month during trading hours; Selling B/D products & Fixed Insurance products. 5) Insurance Professionals, Inc; Non-Investment Related; 405 8th Ave. NW Suite 204, Aberdeen, SD 57401; Traditional Property Casualty Insurance agency; Vice-President, website: www.dakotafinancialservices.com; started 10/4/2022; 4hrs/mo, 4hrs/mo during trading hours; Administrative, o selling or client contact
CRS (Client Relationship Summary) - RIA
Click below to view Lloyd Douglas Hodgin's 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®
NoneExperience
Current
April 26, 2019 - Present
WEALTH PLUS OF THE DAKOTAS, INC.
Office #1: 405 8th Ave. Nw Suite 208, Aberdeen, SD 57401RIA
CRD#: 287536
Aberdeen, SD
Past
July 24, 2019 - September 8, 2025
SAXONY SECURITIES, INC.
BD
CRD#: 115547
Aberdeen, SD
Past
March 20, 2017 - December 31, 2018
WEALTH PLUS OF THE DAKOTAS, INC.
RIA
CRD#: 287536
ABERDEEN, SD
Past
October 28, 2008 - July 24, 2019
CAPITAL FINANCIAL SERVICES, INC.
RIA
CRD#: 8408
ABERDEEN, SD
Past
February 12, 2007 - July 24, 2019
CAPITAL FINANCIAL SERVICES, INC.
BD
CRD#: 8408
ABERDEEN, SD
Past
July 9, 2001 - February 12, 2007
UNITED SECURITIES ALLIANCE, INC.
BD
CRD#: 36487
ABERDEEN, SD
Past
February 17, 1999 - July 6, 2001
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
October 10, 1997 - February 3, 1999
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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.Highlighted states indicate IAR registrations
IAR
South Dakota(4/26/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
WP
WEALTH PLUS OF THE DAKOTAS, INC.
WEALTH PLUS OF THE DAKOTAS, INC.
CRD#: 287536 / SEC#:
North Dakota
Registered Investment Advisory firm - (5/28/2019 Approved)South Dakota
Registered Investment Advisory firm - (4/26/2019 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
405 8th Ave. Nw Suite 208, Aberdeen, SD 57401
Mailing Address
Phone number
(605) 622-7801
Established
Firm type
Fiscal year end
# of Employees
3
Regulatory assets under management
| Total Number of Accounts | 85 |
| AUM (Assets Under Management) | $ 66,120,265 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
