Hailey J. Broten

LSB WEALTH MANAGEMENT

Cedar Falls, IA 50613

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CRD#: 6108351

Professional summary

Hailey Jo Broten, who also goes by Hailey Jo Bergmann, Hailey Broten, is a registered financial advisor currently at LSB WEALTH MANAGEMENT located in Cedar Falls, Iowa and LPL FINANCIAL LLC located in Cedar Falls, Iowa.

Hailey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Hailey has worked at 4 firms and has passed the Series 66, Series 63, Series 7, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Hailey Jo Bergmann | Hailey Broten

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 Hailey Jo Broten'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®

None

Experience

Current

September 24, 2025 - Present

LSB WEALTH MANAGEMENT

Office #1: 302 Main Street, Cedar Falls, IA 50613

RIA

CRD#: 310466

Cedar Falls, IA

Current

December 13, 2024 - Present

LPL FINANCIAL LLC

Office #1: 302 Main St, Cedar Falls, IA 50613

RIA

CRD#: 6413

CEDAR FALLS, IA

Past

September 23, 2025 - February 2, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

July 28, 2021 - December 17, 2024

PRINCIPAL FUNDS DISTRIBUTOR, INC.

CRD#: 43261

DES MOINES, IA

Past

November 5, 2012 - August 6, 2021

PRINCIPAL SECURITIES, INC.

CRD#: 1137

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".

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)

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

Arizona
(1/29/2025)

California
(10/20/2025)

Connecticut
(1/29/2025)

Georgia
(10/20/2025)

Indiana
(1/29/2025)

Iowa
(12/13/2024)

IAR

Iowa
(9/24/2025)

Nebraska
(12/17/2025)

Texas
(2/1/2025)

Wisconsin
(1/29/2025)

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: 9/20/2025

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/11/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/15/2018

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/2/2012

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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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

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 AND 2B 092425 (9/24/2025)

WRAP BROCHURE 070125 (7/1/2025)

DIGITAL WRAP BROCHURE 070125 (7/1/2025)

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
01/27/2026	Cover Page	Report
02/21/2025	Cover Page	Report
08/25/2023	Cover Page	Report

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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Firm Stability Insights

Hailey J. Broten

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hailey Jo Broten's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PRINCIPAL FUNDS DISTRIBUTOR, INC.

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

LSB WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 9/20/2025

Series 63

Date: 5/11/2018

Series 7

Date: 10/15/2018

SIE

Date: 10/1/2018

Series 6

Date: 11/2/2012

FINRA

Current Firm

LSB WEALTH MANAGEMENT

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LSB WEALTH MANAGEMENT

TRUST BUT VERIFY

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