Steven A. Conard

COMPASS FINANCIAL SERVICES

West Des Moines, IA 50266

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CRD#: 4370333

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.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Anthony Conard'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®

CFP^®

Certified Financial Planner

Start date: 2007

Experience

Current

October 12, 2004 - Present

COMPASS FINANCIAL SERVICES

Office #1: 4801 Westown Parkway, West Des Moines, IA 50266

RIA

CRD#: 109441

West Des Moines, IA

Current

July 6, 2004 - Present

LPL FINANCIAL LLC

Office #1: 4801 Westown Pkwy, West Des Moines, IA 50266-1045

RIA

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

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".

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)

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

Colorado
(7/6/2004)

Illinois
(12/18/2025)

Iowa
(7/6/2004)

IAR

Iowa
(10/12/2004)

IAR

Texas
(2/5/2021)

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 66

Date: 10/1/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/17/2001

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: 5/14/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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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

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE 020426 (2/4/2026)

FORM ADV PART 2 AND 2B 020426 (2/4/2026)

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.

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Advisor Monitoring

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Steven A. Conard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Anthony Conard's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EDWARD JONES

Primary Firm SEC Registration

COMPASS FINANCIAL SERVICES

State Registrations and Notice Filings

Exams

Series 66

Date: 10/1/2004

Series 63

Date: 5/17/2001

SIE

Date: 10/1/2018

Series 7

Date: 5/14/2001

FINRA

Current Firm

COMPASS FINANCIAL SERVICES

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPASS FINANCIAL SERVICES

TRUST BUT VERIFY

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