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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-01-14
IA RA APPROVED 2022-01-07
  • CA RA
    APPROVED
    Since 2025-01-14
  • IA RA
    APPROVED
    Since 2022-01-07

Branch Locations

3999 Pennsylvania Ave, Dubuque, IA 52002 • United States

Danville, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cuso Financial Services, Lp San Diego CA 09/2009 01/2021
Robo Advisor, Inc. Lake Mary FL 02/2021 05/2021
Dupaco Community Credit Union Dubuque IA 01/2022 Present
Lpl Financial Llc Dubuque IA 01/2022 Present
Mark Hoaglin Growth Advisors Danville CA 05/2021 11/2021
  • 09/2009 → 01/2021
    Cuso Financial Services, Lp
    San Diego, CA
  • 02/2021 → 05/2021
    Lake Mary, FL
  • 01/2022 → Present
    Dupaco Community Credit Union
    Dubuque, IA
  • 01/2022 → Present
    Dubuque, IA
  • 05/2021 → 11/2021
    Mark Hoaglin Growth Advisors
    Danville, CA
Previous Registrations
  • 2021-03-24 → 2021-05-04
    Danville, CA
  • 2009-09-25 → 2021-02-05
    Cuso Financial Services, L.P.
    Campbell, CA
    Dublin, CA
    San Francisco, CA
    Oakland, CA
    Oakland, CA
    Fairfield, CA
    Berkeley, CA
    Pleasanton, CA
    Livermore, CA
    Brentwood, CA
    Oakland, CA
    San Diego, CA
    Danville, CA
  • 2008-04-03 → 2008-11-07
    Uvest Financial Services Group, Inc.
    San Diego, CA
    Charlotte, NC
  • 2004-11-09 → 2008-03-07
    Secu Brokerage Services
    Raleigh, NC
    Carlsbad, CA
  • 2003-03-07 → 2004-10-22
    Citicorp Investment Services
    Long Island City, NY
Other Businesses

1)01/07/2022 - FINRA Arbitrator - Inv Rel - Location(s) Vary - Outside/W-2 Employment. 2)01/07/2022 - DUPACO FINANCIAL SERVICES - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s). 3) 08/26/2025 - SAFE Credit Union - Investment Related - Financial Institution Duty - 100Folsom, CA - Start Date:08/27/2025 - 60 Hrs/Mth - 2 Hrs During Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-03-08
S63 Uniform Securities Agent State Law Examination 1996-02-23
  • S65 Uniform Investment Adviser Law Examination
    1996-03-08
  • S63 Uniform Securities Agent State Law Examination
    1996-02-23
Designations
Other Names
  • Mark E Hoaglin

View on SEC IAPD

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