Hailey Jo Broten
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...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Hailey Jo Bergmann, Hailey Broten
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
14 years in the financial services industry
Current & Past Employments
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Current Firm
LSB CAPITAL MANAGEMENT | LSB WEALTH MANAGEMENT | LSB CAPITAL MANAGEMENT, INC.
Contact Information
Main Address
1375 Sw State Street, Ankeny, IA 50023Phone Number
(515) 327-9922# of Employees
11SEC notice filing (2 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
573AUM (Assets Under Management)
$228,767,526Accountant 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 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
LSB CAPITAL MANAGEMENT | LSB WEALTH MANAGEMENT | LSB CAPITAL MANAGEMENT, INC.
State Registrations and Notice Filings
(1/29/2025)
(10/20/2025)
(1/29/2025)
(10/20/2025)
(1/29/2025)
(12/13/2024)
(9/24/2025)
(12/17/2025)
(2/1/2025)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 2012About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Hailey Jo Broten's CRS (Customer Relationship Summary).
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