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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2026-05-01 |
Branch Locations
340 W 5Th St, Dubuque, IA 52001 • United States
212 N Riverview Street, Bellevue, IA 52031 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Maquoketa | IA | 06/2016 | 03/2020 |
| Ameriprise Financial Services, Llc | Dubuque | IA | 03/2020 | 05/2026 |
| Lpl Financial Llc | Dubuque | IA | 05/2026 | Present |
1. 04/2026 - Bridgewater Advisors, Inc - DBA for LPL Business (entity for LPL business) - Inv Related - 40 Hour(s)/Month - 32 Hour(s) During Trading - At Reported business location(s) - OBA Start Date: 5/4/2026 2. 04/2026 - Bridgewater Advisors Three LLC - Business Entity For Tax/Investment Purposes Only - Not Inv Related - 160 Hour(s)/Month - 130 Hour(s) During Trading - Dubuque, IA, 52001 - OBA Start Date: 01/01/2025
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-10-01 |
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