Brenden Jeffrey Dauphin

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
IA	RA	APPROVED	2026-05-14

IA RA
APPROVED

Since 2026-05-14

Branch Locations

Bellevue, IA • United States

340 W 5Th St, Dubuque, IA 52001 • 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
Ameriprise Financial Services, Llc	Dubuque	IA	04/2023	05/2026
Sullivans Foods	Savanna	IL	06/2021	04/2023
Aim Lawncare	Arvada	CO	08/2020	06/2021
Sullivans Foods	Savanna	IL	06/2019	06/2020
Student - Clarke University	Dubuque	IA	08/2015	05/2019
Heacock And Jones Financial Services	Dubuque	IA	08/2018	04/2019
Enterprise Rent-A-Car	Dubuque	IA	06/2017	08/2017
Kappy's Karts	Englewood	FL	10/2022	11/2022
Lpl Financial Llc	Dubuque	IA	05/2026	Present

04/2023 → 05/2026

Ameriprise Financial Services, Llc

Dubuque, IA
06/2021 → 04/2023

Sullivans Foods

Savanna, IL
08/2020 → 06/2021

Aim Lawncare

Arvada, CO
06/2019 → 06/2020

Sullivans Foods

Savanna, IL
08/2015 → 05/2019

Student - Clarke University

Dubuque, IA
08/2018 → 04/2019

Heacock And Jones Financial Services

Dubuque, IA
06/2017 → 08/2017

Enterprise Rent-A-Car

Dubuque, IA
10/2022 → 11/2022

Kappy's Karts

Englewood, FL
05/2026 → Present

Lpl Financial Llc

Dubuque, IA

Previous Registrations

2025-12-15 → 2026-05-07

Ameriprise Financial Services, Llc

Dubuque, IA

Other Businesses

1. 05/2026 - Bridgewater Advisors, Inc - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hour(s)/Month - 40 Hour(s) During Trading - At Reported business location(s) - OBA Start Date: 5/14/2026

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-12-06

S66 Uniform Combined State Law Examination

2025-12-06

View on SEC IAPD