NH
Nicholas P. Haselhuhn
LSB WEALTH MANAGEMENT
Clive, IA 50325
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CRD#: 7632331
NH
Professional summary
Nicholas Paul Haselhuhn, who also goes by Nicholas Paul Haselhuhn, is a registered financial advisor currently at LSB WEALTH MANAGEMENT located in Clive, Iowa and LPL FINANCIAL LLC located in West Des Moines, Iowa.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Nicholas has worked at 2 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas Paul Haselhuhn
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. 9/7/2023: LSB Insurance / Non-Variable Insurance / INVESTMENT RELATED / 4 HRS MNTH / 1 HRS DURING TRADING / START DATE 03/22/2023 2- 9/7/2023: LSB Wealth Management / DBA for LPL Business (entity for LPL business) / INVESTMENT RELATED 3. 9/12/2023: LSB Wealth Management; At reported business location(s); Registered Investment Advisor DBA; Admin; Inv. related; start date 8/31/2023; 80hrs/mo.; 4hrs during trading; I provide administrative support to LSB Capital Management, Inc., an independent investment advisor firm. I started this business activity in 9/2023. I expect to spend approximately 80 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. 9/12/2023: LSB CAPITAL MANAGEMENT, INC.; At reported business location(s); Registered Investment Advisor Hybrid; Admin; Inv. related; start date 8/31/2023; 80hrs/mo.; 4hrs during trading; I provide administrative support to LSB Capital Management, Inc., an independent investment advisor firm. I started this business activity in 9/2023. I expect to spend approximately 80 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 Nicholas Paul Haselhuhn'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
October 27, 2022 - Present
LSB WEALTH MANAGEMENT
Office #1: 13523 University Avenue, Clive, IA 50325RIA
CRD#: 310466
Clive, IA
Current
December 18, 2023 - Present
LPL FINANCIAL LLC
Office #1: 7001 Westown Pkwy Ste 260, West Des Moines, IA 50266RIA
BD
CRD#: 6413
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".
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
IAR
Iowa(10/27/2022)
RR
Iowa(3/25/2024)
RR
Wisconsin(2/4/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/16/2023
General Securities Representative ExaminationGeneral 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
LSB WEALTH MANAGEMENT
CRD#: 310466Clive, IA 50325TRUST BUT VERIFY
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