Charles Cunliffe
Charles Cunliffe is a registered investment advisor at LPL Financial LLC, based in Dubuque, IA, with 32 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
3343 Center Grove Dr Ste J, Dubuque, IA, 52003
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Charles owns Creative Maxims LLC since 2009 and Cunliffe Wealth Management as a DBA for his LPL business since 2020. Since 1991, Charles has also been involved with Cunliffe Financial Services, selling non-variable insurance products.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Voya Financial Advisors, INC.
Voya Financial Advisors, INC.Broker
Locust Street Securities, INC.Broker
State Registrations13 states
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