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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2023-02-14 |
Branch Locations
1465 Sycamore Street, Dubuque, IA 52001 • United States
3299 Hillcrest Road, Dubuque, IA 52001 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Prudential Insurance Company Of America | Dubuque | IA | 03/2014 | 10/2016 |
| Prudential Investment Management Services, Llc | Dubuque | IA | 10/2016 | 05/2018 |
| Prudential Investment Management Services Llc | Dubuque | IA | 04/2019 | 04/2022 |
| Gwfs Equities, Inc. | Dubuque | IA | 04/2022 | 09/2022 |
| Dupaco Financial Services | Dubuque | IA | 10/2022 | Present |
| Lpl Financial Llc | Dubuque | IA | 11/2022 | Present |
| Unemployed | Dubugue | IA | 05/2018 | 04/2019 |
1) 11/2022- DUPACO FINANCIAL SERVICES- DBA for LPL Business (entity for LPL business)- inv. related- at reported business location(s) 2) 09/12/2024 - Dupaco Financial Services - Non-Variable Insurance - Financial Consultant - Investment Related - At Reported business Location(s) - Start Date 04/01/2024 - 80 Hours Per Month/ 4 Hours During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-02-10 |
| S63 | Uniform Securities Agent State Law Examination | 2017-01-14 |
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