Rachel E. Wood
LEGACY FINANCIAL GROUP
Des Moines, IA 50312
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CRD#: 4666482
Professional summary
Rachel Elaine Wood, AIF®, CFP®, who also goes by Rachel Elaine Flaherty, is a registered financial advisor currently at LEGACY FINANCIAL GROUP located in Des Moines, Iowa and INTEGRITY ALLIANCE, LLC. located in Des Moines, Iowa.
Rachel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Rachel has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rachel Elaine Flaherty
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) Spectrum Advisory Services INC; Not Investmenr Related; 6000 Grand Ave, Ste B, Des Moines, IA 50312; Fixed Insurance; License Agent; 10 hours per month; 10 hours during security hours; Sales and service if fixed and traditional insurance. 2) Legacy Financial Group; Investment Related; 6000 Grand Ave, Ste B, Des Moines, IA 50312; DBA for securities business; Investment Advisor; 08/27/2018; 100 hours per month; 100 hours during seurity hours; Financial planning and and advisory services. 3) Murray Housing LLC; not investment related; 224 Ema Ave, Norwalk, IA 50211; Real Estate; Minority owner/partner; 11/01/2014; 6 hours per month; 0 hours during security hours; Tenant managment, record keeping and billing 4) Indianola Church of Christ; Not investment related; 1112 Iowa Ave, Indianola, IA 50125; Church/non-profit; Treasurer; 01/01/2018; 1 hour per month; 0 hours during security hours; Review budget/cash flow. 5) LFG Insurance Services LLC; not investment related; 6000 Grand Ave, Ste B, Des Moines, IA 50312; Fixed Insurance; Owner; 04/03/2023; 5 hours per month; 0 hours during security hours; Fixed and traditional insurance sales 6) Insurance Sales; not investment related; 6000 Grand Ave. Ste B Des Moines, IA 50312; Life insurance sales; Agent; 08/06/2018; Life, Health and long term care insurance sales.
CRS (Client Relationship Summary) - RIA
Click below to view Rachel Elaine Wood'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: 2022
Experience
Current
July 25, 2016 - Present
LEGACY FINANCIAL GROUP
Office #1: 6000 Grand Avenue Suite B, Des Moines, IA 50312RIA
CRD#: 154927
Des Moines, IA
Current
August 27, 2018 - Present
INTEGRITY ALLIANCE, LLC.
Office #1: 6000 Grand Avenue Ste B, Des Moines, IA 50312RIA
BD
CRD#: 139627
Des Moines, IA
Past
July 26, 2016 - August 27, 2018
BROKER DEALER FINANCIAL SERVICES CORP.
BD
CRD#: 8073
DES MOINES, IA
Past
January 16, 2008 - July 25, 2016
VSR FINANCIAL SERVICES, INC.
RIA
CRD#: 14503
DES MOINES, IA
Past
January 17, 2005 - July 25, 2016
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
DES MOINES, IA
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".
LF
LEGACY FINANCIAL GROUP
LEGACY FINANCIAL GROUP | SPECTRUM FINANCIAL SERVICES | SPECTRUM ADVISORY SERVICES | LONGENECKER FINANCIAL SERVICES | LFG PLANNERS | LEGACY FINANCIAL GROUP, LLC
CRD#: 154927 / SEC#: 801-79803
RIA
Registered Investment Advisory firm - (5/29/2014 Approved)Iowa
Registered Investment Advisory firm - (6/2/2014 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
Arizona(8/27/2018)
RR
California(8/27/2018)
RR
Colorado(8/27/2018)
RR
Florida(8/27/2018)
IAR
Iowa(7/25/2016)
RR
Iowa(8/27/2018)
RR
Kansas(8/27/2018)
RR
Michigan(8/27/2018)
RR
Minnesota(8/27/2018)
RR
Missouri(8/27/2018)
RR
Montana(8/27/2018)
RR
Nebraska(8/27/2018)
RR
Oregon(1/23/2019)
RR
Texas(8/27/2018)
RR
Wisconsin(8/27/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LF
LEGACY FINANCIAL GROUP
LEGACY FINANCIAL GROUP | SPECTRUM FINANCIAL SERVICES | SPECTRUM ADVISORY SERVICES | LONGENECKER FINANCIAL SERVICES | LFG PLANNERS | LEGACY FINANCIAL GROUP, LLC
CRD#: 154927 / SEC#: 801-79803
RIA
Registered Investment Advisory firm - (5/29/2014 Approved)Iowa
Registered Investment Advisory firm - (6/2/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6000 Grand Avenue Suite B, Des Moines, IA 50312
Mailing Address
Phone number
(515) 255-3306
Established
Firm type
Fiscal year end
# of Employees
18
SEC notice filing (18 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,763 |
| AUM (Assets Under Management) | $ 840,400,934 |
Red Flags
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Company Information
LEGACY FINANCIAL GROUP
CRD#: 154927Des Moines, IA 50312TRUST BUT VERIFY
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