Nicholas L. Harklau

FBL WEALTH MANAGEMENT

West Des Moines, IA 50266

Some features on this profile are disabled

CRD#: 5637624

Professional summary

Nicholas Lynn Harklau, CFP®, who also goes by Nicholas L Harklau, Nick Lynn Harklau, is a registered financial advisor currently at FBL WEALTH MANAGEMENT, LLC located in West Des Moines, Iowa and FBL MARKETING SERVICES, LLC located in Humboldt, Iowa.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Nicholas has worked at 4 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas L Harklau | Nick Lynn Harklau

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) HHS LLC, not investment related. 610 9th St N, Humboldt, IA 50548. Rental property, 2400 Cram Ave SE, Bemidji, MN 56601. 1/6 owner of llc. starting 11/14/14. 5-10 hrs/mo, 0 hours during securities trading hours. Maintenance, reviewing lease, tenant. 2) FBL WEALTH MANAGEMENT, LLC; INVESTMENT RELATED; 5400 UNIVERSITY AVE, WEST DES MOINES IA 50266; INVESTMENT ADVISORY AND FINANCIAL PLANNING; INVESTMENT ADVISER REPRESENTATIVE; DATE OF FBLIMS RELEASE LETTER, UNTIL FURTHER NOTICE; Varied HOURS PER MONTH; Varied HOURS DEVOTED PER MONTH DURING TRADING HOURS; PROVIDE INVESTMENT ADVISORY AND FINANCIAL PLANNING SERVICES TO CUSTOMERS; FEE BASED, HOURLY RATE. 3) THE STORAGE ROOM, LLC; 1000 TIMBER RIDGE CIR., HUMBOLDT, IA 50548; NOT INVESTMENT RELATED; MINI STORAGE UNITS; 8 plex apartment complex rental; 100% OWNER/PRESIDENT; STARTING 6/1/2018; 1 HR/MO; 0 HR/MO DURING SECURITIES TRADING HOURS; OWN STORAGE UNITS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Lynn Harklau'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: 2014

Experience

Current

August 11, 2018 - Present

FBL WEALTH MANAGEMENT, LLC

Office #1: 5400 University Ave, West Des Moines, IA 50266

RIA

CRD#: 291396

West Des Moines, IA

Current

October 22, 2015 - Present

FBL MARKETING SERVICES, LLC

Office #1: 308 13th St S, Humboldt, IA 50548

CRD#: 5309

Humboldt, IA

Past

December 23, 2015 - August 10, 2018

EQUITRUST INVESTMENT MANAGEMENT SERVICES, INC.

RIA

CRD#: 5308

West Des Moines, IA

Past

February 16, 2009 - September 3, 2015

COUNTRY CAPITAL MANAGEMENT COMPANY

CRD#: 12060

WEST 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".

FBL WEALTH MANAGEMENT, LLC

CRD#: 291396 / SEC#: 801-113458

RIA

Registered Investment Advisory firm - (6/18/2018 Approved)

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

Arizona
(7/26/2017)

Iowa
(10/22/2015)

IAR

Iowa
(8/11/2018)

Minnesota
(9/6/2016)

Missouri
(1/3/2023)

Nebraska
(7/26/2017)

New Mexico
(2/11/2016)

North Dakota
(11/1/2019)

Oregon
(5/14/2024)

South Dakota
(10/3/2018)

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

Series 63

Date: 2/23/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/13/2009

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 11/5/2015

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

FBL WEALTH MANAGEMENT, LLC

CRD#: 291396 / SEC#: 801-113458

RIA

Registered Investment Advisory firm - (6/18/2018 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

5400 University Avenue, West Des Moines, IA 50266

Mailing Address

Phone number

(515) 225-5400

Established

Firm type

Fiscal year end

# of Employees

177

SEC notice filing (45 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FBL WEALTH MANAGEMENT, LLC - FORM ADV PART 2A APPENDIX 1 WRAP FEE BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 8,654,949

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.

Similar Advisors

Rajpreet Sangha

PRINCIPAL SECURITIES, INC.

IAR

Tracy, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nicholas L. Harklau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Lynn Harklau's CRS (Customer Relationship Summary).

Certified licenses

Experience

FBL MARKETING SERVICES, LLC

EQUITRUST INVESTMENT MANAGEMENT SERVICES, INC.

COUNTRY CAPITAL MANAGEMENT COMPANY

Primary Firm SEC Registration

FBL WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/23/2009

SIE

Date: 10/1/2018

Series 6

Date: 2/13/2009

Series 26

Date: 11/5/2015

FINRA

Current Firm

FBL WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (45 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FBL WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors