RR
Ramon P. Reyes
LSB WEALTH MANAGEMENT
ANKENY, IA 50023
Some features on this profile are disabled
CRD#: 4973794
RR
Professional summary
Ramon Paul Reyes is a registered financial advisor currently at LSB WEALTH MANAGEMENT located in Ankeny, Iowa and LPL FINANCIAL LLC located in Ankeny, Iowa.
Ramon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Ramon has worked at 9 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.
1 - 12/2024 - Lincoln Savings Bank-LSB Wealth Management - Non-Variable Insurance - Inv Related - 10 Hours/Month - 0.5 Hour During Trading - IA 50023 - OBA Start Date: 12/13/2024. 2 - 12/2024 - Notary - Inv Related - IA 50023 - OBA Start Date: 06/06/2005. 3 - 12/24/2024- LSB WEALTH MANAGEMENT- Registered Investment Advisor DBA- Advisor- Investment Related- At Reported Business Location(s) - Start Date 12/13/2024- 160 hours per month/ 8 hours during trading- I provide investment advisory services to LSB Capital Management Inc., an independent investment advisor firm. I started this business activity in 12/2024. 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. 4- 12/31/2024- LSB Capital Management, Inc. - Registered Investment Advisor Hybrid- Advisor- Investment Related- At Reported Business Location(s) - Start Date 12/17/2024- 160 hours per month/ during trading- I provide investment advisory services to LSB Capital Management Inc., an independent investment advisor firm. I started this business activity in 12/2024. 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 5- 12/31/2024- LSB Capital Management, Inc.- Registered Investment Advisor DBA- Advisor- Investment Related- At Reported Business Location(s) - Start Date 12/17/2024- 160 hours per month/ during trading- I provide investment advisory services to LSB Capital Management Inc., an independent investment advisor firm. I started this business activity in 12/2024. 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.
CRS (Client Relationship Summary) - RIA
Click below to view Ramon Paul Reyes'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
December 19, 2024 - Present
LSB WEALTH MANAGEMENT
Office #1: 1375 Sw State Street, Ankeny, IA 50023RIA
CRD#: 310466
ANKENY, IA
Current
December 13, 2024 - Present
LPL FINANCIAL LLC
Office #1: 1375 Sw State St, Ankeny, IA 50023RIA
BD
CRD#: 6413
Ankeny, IA
Past
December 13, 2024 - December 13, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
May 24, 2022 - January 7, 2025
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
Marshalltown, IA
Past
May 24, 2022 - January 7, 2025
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
Marshalltown, IA
Past
June 23, 2017 - June 3, 2022
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
MARSHALLTOWN, IA
Past
June 14, 2017 - June 3, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
MARSHALLTOWN, IA
Past
August 25, 2015 - June 13, 2017
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
MARSHALLTOWN, IA
Past
August 21, 2015 - June 13, 2017
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
MARSHALLTOWN, IA
Past
April 29, 2011 - August 26, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
AMES, IA
Past
April 28, 2011 - August 26, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
AMES, IA
Past
March 6, 2007 - May 6, 2011
EDWARD JONES
RIA
CRD#: 250
MARSHALLTOWN, IA
Past
August 9, 2005 - May 6, 2011
EDWARD JONES
BD
CRD#: 250
MARSHALLTOWN, 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".
LW
LSB WEALTH MANAGEMENT
LSB CAPITAL MANAGEMENT | LSB WEALTH MANAGEMENT | LSB CAPITAL MANAGEMENT, INC.
CRD#: 310466 / SEC#: 801-124725
RIA
Registered Investment Advisory firm - (4/25/2022 Approved)Iowa
Registered Investment Advisory firm - (4/29/2022 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
California(12/13/2024)
RR
Iowa(12/13/2024)
IAR
Iowa(12/19/2024)
RR
Minnesota(1/8/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LW
LSB WEALTH MANAGEMENT
LSB CAPITAL MANAGEMENT | LSB WEALTH MANAGEMENT | LSB CAPITAL MANAGEMENT, INC.
CRD#: 310466 / SEC#: 801-124725
RIA
Registered Investment Advisory firm - (4/25/2022 Approved)Iowa
Registered Investment Advisory firm - (4/29/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1375 Sw State Street, Ankeny, IA 50023
Mailing Address
Phone number
(515) 327-9922
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 567 |
| AUM (Assets Under Management) | $ 173,002,714 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/21/2025 | ||
| 08/25/2023 | ||
| 12/21/2022 |
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
LSB WEALTH MANAGEMENT
CRD#: 310466Ankeny, IA 50023TRUST BUT VERIFY
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