Cole Leroy Schmelzer

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2016-02-10
IA	RA	APPROVED	2014-10-24

TX RA
APPROVED_RES

Since 2016-02-10
IA RA
APPROVED

Since 2014-10-24

Branch Locations

3299 Hillcrest Road, Dubuque, IA 52001 • United States

2245 Flint Hill Dr, Dubuque, IA 52003 • United States

185 Peosta Street, Peosta, IA 52068 • United States

400 S Locust Street, Dubuque, IA 52003 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Dubuque	IA	10/2014	Present
Dupaco Community Credit Union	Dubuque	IA	10/2014	Present

10/2014 → Present

Lpl Financial Llc

Dubuque, IA
10/2014 → Present

Dupaco Community Credit Union

Dubuque, IA

Previous Registrations

2010-02-05 → 2014-10-17

Cuna Brokerage Services, Inc.

Dubuque, IA

Davenport, IA
2008-01-07 → 2008-08-28

Global Portfolio Strategies, Inc.

Dubuque, IA

Other Businesses

1) 10/24/14-DUPACO FINANCIAL SERVICES/DBA FOR LPL BUSINESS/100%/DUBUQUE,IA 2) 04/14/2022 - Dupaco Financial Services- Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 10/16/2014 - 40 Hours Per Month/40 Hours During Securities Trading. 3) 08/06/2024 - Dupaco Financial Services - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 10/16/2014 - 40 Hours Per Month/ During Trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-12-19
S63	Uniform Securities Agent State Law Examination	2006-12-12

S65 Uniform Investment Adviser Law Examination

2007-12-19
S63 Uniform Securities Agent State Law Examination

2006-12-12

View on SEC IAPD