Wyatt K. Earp

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CRD#: 811483

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Wyatt Kimberly Earp was a registered financial professional .

Wyatt is a previously registered financial professional and started their career in finance in 1975. Wyatt had worked at 12 firms and has passed the Series 65, Series 63, SIE, PC, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 6, 2019 - December 18, 2020

LEGACY FINANCIAL GROUP

RIA

CRD#: 154927

DES MOINES, IA

Past

October 31, 2019 - December 15, 2020

INTEGRITY ALLIANCE, LLC.

CRD#: 139627

Des Moines, IA

Past

February 19, 2015 - November 1, 2019

WYATT EARP WEALTH MANAGEMENT

RIA

CRD#: 114318

WEST DES MOINES, IA

Past

December 8, 2008 - November 6, 2019

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

WEST DES MOINES, IA

Past

January 1, 1999 - December 31, 2014

WYATT EARP WEALTH MANAGEMENT

RIA

CRD#: 114318

WEST DES MOINES, IA

Past

July 31, 1998 - December 8, 2008

SECURITIES AMERICA, INC.

CRD#: 10205

WEST DES MOINES, IA

Past

April 1, 1998 - July 15, 1998

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

November 14, 1995 - April 1, 1998

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

WEST DES MOINES, IA

Past

July 29, 1988 - November 16, 1995

PRINCIPAL FINANCIAL SECURITIES,INC.

CRD#: 260

DALLAS, TX

Past

March 3, 1981 - August 1, 1988

PIPER SANDLER & CO.

CRD#: 665

Past

November 29, 1979 - March 28, 1981

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

May 16, 1979 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

Past

September 26, 1978 - June 21, 1979

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

August 21, 1975 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

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".

LEGACY FINANCIAL GROUP

CRD#: 154927 / SEC#: 801-79803

RIA

Registered Investment Advisory firm - (5/29/2014 Approved)

Iowa

Registered Investment Advisory firm - (6/2/2014 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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/25/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/24/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 9/8/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 8/16/1975

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 9/15/1979

Registered Options Principal Examination

Current Firm

LEGACY FINANCIAL GROUP

CRD#: 154927 / SEC#: 801-79803

RIA

Registered Investment Advisory firm - (5/29/2014 Approved)

Iowa

Registered Investment Advisory firm - (6/2/2014 Terminated)

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Contact information

Main Address

6000 Grand Avenue Suite B, Des Moines, IA 50312

Mailing Address

Phone number

(515) 255-3306

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2AB 2025.8.7 (10/22/2025)

Regulatory assets under management

Total Number of Accounts	3,763
AUM (Assets Under Management)	$ 840,400,934

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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Advisor Monitoring

Firm Stability Insights

Wyatt K. Earp

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INTEGRITY ALLIANCE, LLC.

WYATT EARP WEALTH MANAGEMENT

GENEOS WEALTH MANAGEMENT, INC.

WYATT EARP WEALTH MANAGEMENT

SECURITIES AMERICA, INC.

SECURITIES AMERICA, INC.

BROKER DEALER FINANCIAL SERVICES CORP.

PRINCIPAL FINANCIAL SECURITIES,INC.

PIPER SANDLER & CO.

UBS FINANCIAL SERVICES INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

Primary Firm SEC Registration

LEGACY FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 10/25/1996

Series 63

Date: 1/24/1986

SIE

Date: 10/1/2018

PC

Date: 9/8/1977

Series 7

Date: 8/16/1975

Series 4

Date: 9/15/1979

Current Firm

LEGACY FINANCIAL GROUP

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEGACY FINANCIAL GROUP

TRUST BUT VERIFY

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