Ames, IA 5th St Office
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LPL Financial
Institution
Firm-wide stats for LPL Financial
About
LPL Financial is a national broker‑dealer and SEC‑registered investment adviser that delivers advisory and brokerage services through a network of investment adviser representatives to individuals, retirement plan participants, banks, trust companies and other institutions. Its offerings include financial planning, wrap and model portfolio programs, third‑party asset management (TAMP) access, participant‑level retirement advice (IPA and OPA), and institutional platforms such as the Bank Wealth Program.
Advice and account management are provided primarily by IARs who may implement LPL Research model portfolios, third‑party subadvisors, or customized strategies on either a discretionary or non‑discretionary basis, with options spanning strategic and tactical allocations, direct indexing and alternative exposures. The brochure notes LPL’s use of machine‑learning and other advisor‑facing tools for operational and research support while stating those systems are not used to make investment decisions for clients.
What distinguishes LPL from many peers is the scale and breadth of its non‑advisory financial activities alongside its advisory platform—an affiliated insurance agency, a firm‑offered Secured Credit Account and credit‑card arrangements, and various recordkeeping and bank partnerships—combined with oversight of over $819 billion in discretionary assets and more than 22,800 advisors. The firm’s brochure also discloses multiple regulatory enforcement matters and indicates it does not advertise hypothetical performance in its materials.
Based on LPL Financial
Expertise
Based on LPL Financial
Location
405 5th St
Ames IA 50010
Advisors at this office
4
Advisors at this office
Richard N
Series 63, Series 65
Ames, IA
LPL Financial
Richard Nelson is a financial advisor with LPL Financial in Ames, Iowa, holding Series 63 and Series 65 licenses and bringing 29 years of industry experience. He has been with LPL Financial since 2001. LPL Financial is a national broker-dealer and SEC-registered investment adviser that serves individuals, retirement plan participants, banks, trust companies, and other institutions. The firm offers a range of advisory and brokerage services, including financial planning, model portfolio programs, third-party asset management, and institutional platforms.
Stephen K
Series 66
Ames, IA
LPL Financial
Stephen Kester is a financial advisor with LPL Financial in Ames, Iowa, holding a Series 66 designation and 13 years of industry experience. He has worked at LPL Financial and First National Bank, Ames since 2012. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plan participants, banks, trust companies, and other institutions. The firm offers a range of services including financial planning, model portfolio programs, third-party asset management, and institutional platforms, supporting a diverse network of investment adviser representatives managing over $819 billion in discretionary assets.
Brent J
Series 66
Ames, IA
LPL Financial
Brent Johnson is a financial advisor with LPL Financial, holding a Series 66 designation and one year of industry experience. His prior roles include positions at First National Bank and Rosens' Inc., as well as experience in educational institutions such as Iowa State University and Des Moines Area Community College. LPL Financial is a national broker-dealer and SEC-registered investment adviser that provides advisory and brokerage services to individuals, retirement plans, banks, trust companies, and other institutions. The firm offers a range of investment solutions including financial planning, model portfolios, third-party asset management, and institutional platforms, supporting advisors with research tools and various operational resources.
Shea T
Series 66
Ames, IA
LPL Financial
Shea Thilges is a financial advisor with LPL Financial based in Ames, IA. He holds the Series 66 designation and has been in the industry since 2025. Prior to joining LPL Financial, he has experience working at First National Bank, Edward Jones, and Main Street Specialties, as well as roles connected to Iowa State University and local schools. LPL Financial is a national broker-dealer and SEC-registered investment adviser serving individuals, retirement plan participants, banks, trust companies, and other institutions. The firm offers a range of advisory and brokerage services, including financial planning, model portfolios, third-party asset management, and institutional platforms, supporting advisors with various investment tools and research capabilities.
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