Dubuque, IA Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Lanark Financial, Inc.
Multi-team
Firm-wide stats for Lanark Financial, Inc.
About
Lanark Financial provides investment management, financial planning, and related advisory services to individuals (including high-net-worth clients), retirement plans, trusts, foundations, municipalities, and other institutional clients. The firm manages approximately $1.78 billion in client assets across multiple advisor teams and offers program-based accounts through ProAM, APS, Envestnet and several RBC-sponsored IA programs.
Lanark evaluates client circumstances through a Client Profile and delivers advice via a mix of discretionary and non-discretionary arrangements, with roughly $795 million managed discretionary and $989 million managed non-discretionary as of December 31, 2025. The firm acts as a program sponsor and uses third‑party and affiliated sub‑advisers, overlay managers, and model portfolios, and it offers optional services such as tax overlay management and personal conviction overlay screens on UMA and model-based accounts.
Distinctive features noted in the brochure include dual registration as a FINRA‑member broker‑dealer and registered investment adviser (SIPC member), the operation of an affiliated investment‑management division (Lanark Asset Management), and an affiliated advisory firm (Financial Advisory Partners). The brochure also discloses prior regulatory settlement activity involving NBC Securities related to mutual fund share‑class disclosure and 12b‑1 fees (disgorgement and prejudgment interest of $393,491.51 plus $32,628.32), and describes brokerage‑side activities and compensation practices (including commissionable insurance and interest‑sharing on cash sweep programs) that can create conflicts of interest distinct from many peer multi‑team advisory firms.
Based on Lanark Financial, Inc.
Expertise
Based on Lanark Financial, Inc.
Location
1660 Embassy West Drive, Suite 200
Dubuque IA 52002
Advisors at this office
4
Advisors at this office
Carolyn B
Series 63, Series 66
Dubuque, IA
Lanark Financial, Inc.
Carolyn Bennett is a financial advisor at Lanark Financial, Inc. in Dubuque, IA, with 43 years of industry experience. She holds the Series 63 and Series 66 designations and has been with NBC Securities, Inc. since 2015. Lanark Financial provides investment management, financial planning, and related advisory services to a diverse client base including individuals, retirement plans, trusts, foundations, municipalities, and other institutional clients. The firm manages approximately $1.78 billion in assets across multiple advisor teams and offers a range of program-based accounts while utilizing both discretionary and non-discretionary management strategies.
John H
Series 63, Series 66
Dubuque, IA
Lanark Financial, Inc.
John Hackett is a financial advisor with Lanark Financial, Inc. based in Dubuque, IA. He holds Series 63 and Series 66 licenses and has 50 years of industry experience. Since 2015, he has been associated with NBC Securities, Inc. through Lanark Financial. Lanark Financial provides investment management, financial planning, and advisory services to individuals, retirement plans, trusts, foundations, municipalities, and institutional clients. The firm manages approximately $1.78 billion in assets across multiple advisor teams and offers a combination of discretionary and non-discretionary arrangements.
William B
Series 66
Dubuque, IA
Lanark Financial, Inc.
William Bennett is a financial advisor at Lanark Financial, Inc. based in Dubuque, IA. He holds the Series 66 designation and has been in the industry since 2024, including experience at NBC Securities and a background working with the City of Sartell and St. Cloud State University. Lanark Financial provides investment management, financial planning, and advisory services to individuals, retirement plans, trusts, foundations, municipalities, and other institutional clients. The firm manages approximately $1.78 billion in assets across multiple advisor teams and offers discretionary and non-discretionary account options with access to various third-party and affiliated sub-advisers.
Anthony K
Series 63, Series 66
Dubuque, IA
Lanark Financial, Inc.
Anthony Keppler is a financial advisor with Lanark Financial, Inc. in Dubuque, IA, holding Series 63 and Series 66 licenses and possessing 44 years of industry experience. He has been associated with NBC Securities, Inc. since 2015. Outside of his advisory work, he is involved in farm land rental and owns a guest house offering maintenance and guest services. Lanark Financial provides investment management and financial planning services to individuals, retirement plans, trusts, foundations, municipalities, and other institutional clients. The firm manages approximately $1.78 billion in client assets across multiple advisor teams and uses a combination of discretionary and non-discretionary arrangements along with various program-based accounts.
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