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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2023-10-09 |
| TX | RA | APPROVED | 2023-10-09 |
Branch Locations
707 Central Ave, Dubuque, IA 52001 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cuna Brokerage Services, Inc. | Waverly | IA | 06/2008 | 09/2021 |
| Cuna Mutual Group | Waverly | IA | 06/2008 | 09/2021 |
| Keller Williams | Dubuque | IA | 09/2020 | 06/2021 |
| Loras College | Dubuque | IA | 10/2018 | 11/2018 |
| Collins Community Credit Union | Dubuque | IA | 09/2021 | 08/2023 |
| Lpl Financial Llc | Dubuque | IA | 05/2022 | 08/2023 |
| Lpl Financial Llc | Dubuque | IA | 10/2023 | Present |
1) 10/09/2023 - The Water's Edge / Business Entity For Tax/Investment Purposes Only / Not Investment Related / Dubuque, IA / Start date 09/01/2022 2) 10/09/2023 - Freedom Financial Group, LLC / Business Entity For Tax/Investment Purposes Only / Not Investment Related / Dubuque, IA / Start date 10/09/2023 - 40 Hrs per month - 100% Time Spent 3) 10/18/2023 - Freedom Financial Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) -Start Date 10/11/2023 - 40 Hours Per Month/ 8 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-09-18 |
| S63 | Uniform Securities Agent State Law Examination | 2002-08-26 |
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