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Financial ADVSR advisor directory · SEC adviser records

Financial advisors in Dubuque, IA

Every SEC-registered investment adviser representative at a firm office in Dubuque, with the firms that employ the most of them.

180 registered advisors work in Dubuque; the most are at Friday Financial (25). 44 list the CFP designation and 99 are also registered broker representatives.

Firms with the most advisors in Dubuque

FirmAdvisors in Dubuque
Friday Financial25
LPL Financial LLC news18
Cetera Planning Partners news17
Stackstone Wealth, LLC15
Steele Capital Management, Inc.13
Cetera Investment Advisers LLC news11
Edward Jones news10
Wells Fargo Clearing Services, LLC news8
Ameriprise Financial Services, LLC news6
Avantax Planning Partners, Inc.6
Nations Financial Group, Inc.6
Weitzel Financial Services, Inc.6
State Farm Investment Management Corp.5
Wells Fargo Advisors Financial Network, LLC news5
Lanark Financial, Inc.4
Mariner Independent news4
Osaic Wealth, Inc. news3
Richmond Investment Services LLC3
Empower Advisory Group, LLC2
Nicolet Wealth Management2
Raymond James Financial Services Advisors, Inc. news2
The Life Group Financial Services2
Thrivent Investment Management Inc.2
Wealth Enhancement Advisory Services, LLC news2
Edelman Financial Engines news1

Advisors in Dubuque, A to Z

CFP advisors in Dubuque →

Other cities in Iowa

All of Iowa →

West Des Moines 760Cedar Rapids 405Des Moines 400Urbandale 252Davenport 162Bettendorf 106Fairfield 106Clive 87Waterloo 72Ankeny 71Cedar Falls 71Iowa City 66Hiawatha 62Sioux City 61Johnston 59Ames 54Coralville 51Waverly 39Pella 34Clinton 31Spencer 30Marion 28Council Bluffs 25Decorah 25

Questions

How many financial advisors are in Dubuque, IA?

180 investment adviser representatives are registered at firm offices in Dubuque, Iowa, according to the SEC's Investment Adviser Public Disclosure records. 99 of them are also registered as broker representatives, and 44 list the CFP designation.

Which firm has the most financial advisors in Dubuque?

Friday Financial, with 25 registered advisors in Dubuque, followed by LPL Financial LLC with 18.

How do I check a financial advisor in Dubuque?

Each advisor below links to a profile with their firm, registrations, exams and how long they've been registered, plus links to the SEC's adviser search and FINRA BrokerCheck, where any disclosures are listed in full.

Source: the SEC's Investment Adviser Public Disclosure daily file. Advisors are listed at the city of the firm office they're registered at; an advisor registered at offices in more than one city appears in each. Broker-only representatives (FINRA BrokerCheck) aren't included. Moving firms? See who's moving this week, compare payouts by firm or value a recruiting offer.