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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2022-08-31 |
Branch Locations
11375 Oldenburg Lane, Galena, IL 61036 • United States
3999 Pennsylvania Ave, Dubuque, IA 52002 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Voya Financial Advisors, Inc. | Dubuque | IA | 10/2014 | 06/2021 |
| Assuredpartners Great Plains, Llc | Dubuque | IA | 03/2020 | 08/2022 |
| Cetera Advisor Networks Llc | El Segundo | CA | 06/2021 | 08/2022 |
| Dupaco Financial Services | Dubuque | IA | 08/2022 | Present |
| Lpl Financial Llc | Dubuque | IA | 08/2022 | Present |
1) 8/2022- Dupaco Financial Services- DBA for LPL Business (entity for LPL business)- inv. related- at reported business location(s) 2) 8/2022- Non-Variable Insurance- Agent selling Fixed annuity, life, disability, LTC. - inv. related- Dubuque, IA-start date 8/2022- 80hrs/mth
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-11-16 |
| S63 | Uniform Securities Agent State Law Examination | 2012-04-18 |
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