Lynn Schmitt

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
IA	RA	APPROVED	2023-09-29

IA RA
APPROVED

Since 2023-09-29

Branch Locations

3299 Hillcrest Road, Dubuque, IA 52001 • United States

807 Ninth Street Se, Dyersville, IA 52040 • United States

1200 W Main Street, Manchester, IA 52057 • United States

3999 Pennsylvania Ave, Dubuque, IA 52002 • United States

185 Peosta St, Peosta, IA 52068 • United States

2245 Flint Hill Dr, Dubuque, IA 52003 • 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

Organization	City	State	From	To
Lpl Financial Llc	Dubuque	IA	02/2023	Present
Dupaco Community Credit Union	Dubuque	IA	02/2023	Present
Dupaco Community Credit Union	Dubuque	IA	02/2007	02/2023

02/2023 → Present

Lpl Financial Llc

Dubuque, IA
02/2023 → Present

Dupaco Community Credit Union

Dubuque, IA
02/2007 → 02/2023

Dupaco Community Credit Union

Dubuque, IA

Other Businesses

1) 05/09/2023 - Notary - IA 52001 - Investment related - 0 Hours per month - Start date: 10/16/2020. 2) 05/09/2023 - Dupaco Financial Services - Financial Institution Duty - Admin Assistant - IA 52004 - Investment related - 160 Hours per month - Start date: 02/04/2023. 3) 09/20/2024 - The Achievement Group (TAG) and Back Nine - Non-Variable Insurance - Producer - Investment Related - At Reported Business Location(s) - Start Date 09/18/2024 - 80 Hours Per Month/ 60 Hours During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-09-28

S66 Uniform Combined State Law Examination

2023-09-28

View on SEC IAPD