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RICHARD STEVENS YODER
RICK YODER
CRD#: 2247570
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 515 E LOCUST ST STE 250
DES MOINES, IA 50309
Registration History
19952000200520102015202020252 FIRMS2003 - 2004 (1 year)2 FIRMS2004 - 2005 (1 year)2 FIRMS2011 - 2020 (8 years)2 FIRMS2020 - Present (4 years)BUBS PAINEWEBBER INC. (CRD# 8174)1999 - 2003 (3 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1995 - 1999 (4 years)BPRINCIPAL FINANCIAL SECURITIES... (CRD# 260)1992 - 1995 (2 years)IAUBS PAINEWEBBER INC. (CRD# 8174)2000 - 2003 (3 years)
Disclosure(s)
View By:
2/22/2007
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 8/15/2024

B
Kansas 1/3/2020

B
California 1/3/2020

B
Minnesota 1/3/2020

B
Florida 1/3/2020

B
Missouri 1/3/2020

B
Georgia 3/28/2024

B
Nebraska 1/3/2020

B
Illinois 2/20/2020

B
Texas 4/4/2023

B
Iowa 1/3/2020

IA
Texas 6/12/2023

IA
Iowa 1/3/2020

B
Utah 6/16/2022

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
515 E LOCUST ST STE 250, DES MOINES, IA 50309
Registered with this firm since 1/3/2020

B
LPL FINANCIAL LLC (CRD#:6413)
515 E LOCUST ST STE 250, DES MOINES, IA 50309
Registered with this firm since 1/3/2020

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/15/2011 - 01/10/2020 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) WEST DES MOINES, IA
B
03/10/2011 - 01/10/2020 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) WEST DES MOINES, IA
IA
07/29/2004 - 10/28/2005 MULTI-FINANCIAL SECURITIES CORPORATION (CRD#:10299) DES MOINES, IA
B
07/26/2004 - 10/28/2005 MULTI-FINANCIAL SECURITIES CORPORATION (CRD#:10299) GREENWOOD VILLAGE, CO
IA
03/28/2003 - 06/30/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) WEST DESMOINES, IA
B
03/28/2003 - 06/30/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
IA
02/23/2000 - 04/16/2003 UBS PAINEWEBBER INC. (CRD#:8174) DES MOINES, IA
B
12/03/1999 - 04/16/2003 UBS PAINEWEBBER INC. (CRD#:8174) WEEHAWKEN, NJ
B
01/06/1995 - 12/08/1999 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
07/31/1992 - 01/06/1995 PRINCIPAL FINANCIAL SECURITIES,INC. (CRD#:260) DALLAS, TX
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.