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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2020-06-30 |
| TX | RA | APPROVED | 2020-06-30 |
Branch Locations
3343 Center Grove Dr Ste J, Dubuque, IA 52003 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Voya Financial Advisors | Dubuque | IA | 09/2014 | 06/2020 |
| Lpl Financial Llc | Dubuque | IA | 06/2020 | Present |
1) 06/30/2020 - Business Owner - Creative Maxims LLC - Not Investment Related - 3343 Center Grove Dr Suite J Dubuque Iowa - Start Date 3/24/2009 - 10 hours per month/ 0 hours during trading 2) 6/30/2020 - DBA for LPL Business (entity for LPL business) - Cunliffe Wealth Management - Investment Related - At Reported Business Location(s) - Start Date 7/1/2020 - 210 hours per month/ 7 hours during trading 3) 06/30/2020 - Non-Variable Insurance - Cunliffe Financial Services - Investment Related - At Reported Business Location(s) - Start Date 1/1991 - 5 hours per month/ during trading 4) 12/01/2025 - KC Properties - Real Estate Rental-House Flipping - Investment Related - Dubuque, IA - Start Date 11/21/2025 - 20 hours per month/ 0 hours per month
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-11-27 |
| S63 | Uniform Securities Agent State Law Examination | 1993-10-18 |
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