Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vernon? Claim Your ProfileVernon Sanftner is a financial professional with over 36 years of experience in the industry. Vernon is currently registered with LPL Financial LLC, and has held previous positions with firms such as First Union Securities, Inc., Principal Financial Securities, Inc., Kirkpatrick, Pettis, Smith, Polian Inc., Smith Barney Inc., and Lehman Brothers Inc. Vernon holds various licenses and certifications including Series 63, 65, 66, 7, 8, 9, 10 and SIE. Vernon is licensed to provide financial advice and services in multiple states including Iowa, Texas, and many others. Vernon has a strong track record of helping individuals and families achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
IA
05/15/2001 - Present
LPL Financial LLC (WEST DES MOINES IA)
MO
05/11/1998 - 10/10/2000
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
TX
02/24/1998 - 05/11/1998
PRINCIPAL FINANCIAL SECURITIES,INC. (DALLAS TX)
NE
04/28/1995 - 03/03/1998
KIRKPATRICK, PETTIS, SMITH, POLIAN INC. (OMAHA NE)
NY
07/31/1993 - 05/05/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
07/23/1986 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 05/02/2001
Series 66 - Uniform Combined State Law Examination
IA
Issued 05/12/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/24/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/20/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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