TrueAdvisor
TrueAdvisor
CS
CS

Cole Schmelzer

LPL Financial LLC
18 Years of Experience
Dubuque, IA
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Cole Schmelzer is a registered investment advisor at LPL Financial LLC, based in Dubuque, IA, with 18 years of industry experience. Cole is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

3299 Hillcrest Road, Dubuque, IA, 52001

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Criminal
July 1994
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Cole operates under Dupaco Financial Services, doing business as (DBA) for his LPL business since 2014. He also engages in non-variable insurance activities through Dupaco Financial Services, dedicating about a quarter of his time to these activities.

Employment History
Current Registrations
LPL Financial LLC
October 2014 - Present · 12 yrs
LPL Financial LLCBroker
October 2014 - Present · 12 yrs
LPL Financial LLC
October 2014 - Present · 12 yrs
Previous Registrations
CUNA Brokerage Services, INC.
February 2010 - October 2014 · 4 yrs 8 mos
CUNA Brokerage Services, INC.Broker
January 2010 - October 2014 · 4 yrs 9 mos
Global Portfolio Strategies, INC.
January 2008 - August 2008 · 7 mos
Prudential Investment Management Services LLCBroker
November 2007 - August 2008 · 9 mos
Nylife Securities LLCBroker
January 2007 - October 2007 · 9 mos
State Registrations17 states
ARAZCOFLGAIAILINMIMNMONENVOKSCTXWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Dubuque, IA →All financial advisors in Iowa →