SC
Steven A. Conard
COMPASS FINANCIAL SERVICES
West Des Moines, IA 50266
Some features on this profile are disabled
CRD#: 4370333
SC
Steven Anthony ConardCOMPASS FINANCIAL SERVICES
Professional summary
Steven Anthony Conard, CFP® is a registered financial advisor currently at COMPASS FINANCIAL SERVICES located in West Des Moines, Iowa and LPL FINANCIAL LLC located in West Des Moines, Iowa.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Steven has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
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. 9/8/2008 - COMPASS FINANCIAL SERVICES - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Time Spent 10% - INVESTMENT ADVISOR REPRESENTATIVE FOR COMPASS FINANCIAL SERVICES, AN LPL-APPROVED STATE-REGISTERED (IOWA) INVESTMENT ADVISOR, UNDER KURTIS PEARSON (LPL REP ID K8VA). 2. 8/9/2012 - COMPASS FINANCIAL SERVICES - Investment Related - At Reported Business Location(s) - REGISTERED INVESTMENT ADVISOR - Time Spent 5% - NON-EMPLOYEE IAR; CHARGE HOURLY FEES FOR FINANCIAL PLANNING SERVICES DELIVERED UNDER THIS DBA NAME. 3. 6/17/2014 - Brokers Clearinghouse - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Started 06/30/2014 - 1 Hour Per Month During Securities Trading - GENERAL AGENT FOR LIFE AND HEALTH INSURANCE PRODUCTS. 4. 2/9/2016 - NO BUSINESS NAME - Investment Related - Missoula, MT - Real Estate Rental - STARTED 02/01/2016 - 1 Hour Per Month/0 Hours During Securities Trading. 5. 7/26/2017 - Compass Financial Services, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 07/05/2004 - 200 Hours Per Month During Securities Trading. 6. 8/8/2017 - Compass Financial Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Started 07/05/2004 - 10 Hours Per Month During Securities Trading - I provide financial planning and consulting services through Compass Financial Services, an independent investment advisor firm. I started this business activity in 7/2017. I expect to spend approximately 10 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.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial. 7. 10/25/2018 - No Business Name - Not Investment Related - No Address - Other - Referee - Start Date:08/23/2018 - 30 Hours Per Month/0 Hours During Trading. 8. 2/5/2020 - Compass Financial Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 07/05/2004 - 160 Hours Per Month/100 Hours During Securities Trading - I provide investment advisory services through Compass Financial Services, an independent investment advisor firm. I started this business activity in 07/2004. I expect to spend approximately 160 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.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 9. 03/01/2022 - No Business Name - Investment Related - Des Moines, Iowa - Real Estate Rental - Start Date - 02/01/2022 - 2 Hours Per Month/0 Hours During Securities Trading. 10. 08/04/2022 - No Business Name - Investment Related - Missoula, MT 59801 - Real Estate Rental - Start Date - 08/01/2022 - 2 Hours Per Month/0 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Anthony Conard'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®
CFP®
Start date: 2007
Experience
Current
October 12, 2004 - Present
COMPASS FINANCIAL SERVICES
Office #1: 4801 Westown Parkway, West Des Moines, IA 50266RIA
CRD#: 109441
West Des Moines, IA
Current
July 6, 2004 - Present
LPL FINANCIAL LLC
Office #1: 4801 Westown Pkwy, West Des Moines, IA 50266-1045RIA
BD
CRD#: 6413
WEST DES MOINES, IA
Past
September 19, 2025 - December 31, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
ADEL, IA
Past
October 4, 2004 - October 6, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
ADEL, IA
Past
May 15, 2001 - July 6, 2004
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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".
CF
COMPASS FINANCIAL SERVICES
COMPASS FINANCIAL SERVICES | PEARSON KURTIS SCOTT | COMPASS FINANCIAL SERVICES, INC.
CRD#: 109441 / SEC#: 801-118466
RIA
Registered Investment Advisory firm - (4/21/2020 Approved)Iowa
Registered Investment Advisory firm - (4/22/2020 Terminated)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.RR
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
RR
Colorado(7/6/2004)
RR
Illinois(12/18/2025)
RR
Iowa(7/6/2004)
IAR
Iowa(10/12/2004)
IAR
Texas(2/5/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CF
COMPASS FINANCIAL SERVICES
COMPASS FINANCIAL SERVICES | PEARSON KURTIS SCOTT | COMPASS FINANCIAL SERVICES, INC.
CRD#: 109441 / SEC#: 801-118466
RIA
Registered Investment Advisory firm - (4/21/2020 Approved)Iowa
Registered Investment Advisory firm - (4/22/2020 Terminated)Loading...
Contact information
Main Address
4801 Westown Parkway, West Des Moines, IA 50266
Mailing Address
Phone number
(515) 327-1020
Established
Firm type
Fiscal year end
# of Employees
12
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,909 |
| AUM (Assets Under Management) | $ 407,449,818 |
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.
Company Information
COMPASS FINANCIAL SERVICES
CRD#: 109441West Des Moines, IA 50266TRUST BUT VERIFY
Monitor Steven Conard
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
