Annette Utterback has been Chief Compliance Officer of LSB Capital Management since March 2022, is a control person of the firm and directly owns under 5% of it.
LSB Capital Management, Inc. is an Ankeny, IA firm with $229M under management, 383 clients and 11 advisers across 7 offices, as of its August 2026 filing.
Annette Utterback’s longest registration was 7 years at U.S. Bancorp Investments, Inc. (2006–2013). Before joining LSB Capital Management in 2021, Annette Utterback was registered through LPL Financial LLC and Investment Advisors Corp.
- LSB Wealth ManagementCurrent– present · 4 yearsAnkeny, IA · Adviser representative · Firm CRD 310466
- LPL Financial LLC– · 3 yearsClive, IA · Adviser representative · Firm CRD 6413
- Investment Advisors Corp– · 3 yearsWest Des Moines, IA · Adviser representative · Firm CRD 117531
- U.S. Bancorp Investments, Inc.– · 7 yearsDes Moines, IA · Adviser representative · Firm CRD 17868
Investment adviser representative registrations
Annette Utterback is registered as an investment adviser representative in Iowa, since December 2021.
- IowaSince 6 December 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 30 March 2006 |
| Series 7 | General Securities Representative Examination | 19 March 1993 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 April 1991 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 9 April 1991 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Annette Jeanblanc Utterback
- CRD
- 2136808
- Firm
- LSB Capital Management · CRD 310466
- Role
- Chief Compliance Officer
- Office
- 1375 SW State Street, Ankeny, IA 50023
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 1992
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Annette Utterback work?
Annette Utterback has been Chief Compliance Officer of LSB Capital Management, Inc. since March 2022, and is a control person of the firm.
Is Annette Utterback a financial advisor?
Yes. Annette Utterback has a current investment-adviser registration in Iowa, through LSB Capital Management since December 2021.
How many years of experience does Annette Utterback have?
Annette Utterback has 34 years in the financial industry, since September 1992, across 4 adviser firms.
What exams has Annette Utterback passed?
Annette Utterback has passed 4 licensing exams: the Series 63, Series 6, Series 7 and Series 65. The earliest, the Series 63, was passed in April 1991. FINRA credited Annette Utterback with the SIE, which began in October 2018.
Where did Annette Utterback work before LSB Capital Management?
Before LSB Capital Management, Annette Utterback was registered through Investment Advisors Corp, March 2014 to January 2018; U.S. Bancorp Investments, Inc., March 2006 to August 2013.
Where is Annette Utterback based?
Annette Utterback’s registered office is in Ankeny, IA.
Is Annette Utterback registered with FINRA?
Yes. Annette Utterback has a current broker registration, under CRD 2136808.
Source: FINRA BrokerCheck
How can I verify Annette Utterback’s record?
Search CRD 2136808 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Annette Utterback’s full registration record.
