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MD

Mollie A. Dones

Some features on this profile are disabled
CRD#: 6326252
MD

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Mollie Amber Dones, who also goes by Mollie A Dones, Mollie Dones, Mollie Amber Keane-peck, Mollie K Piechocki, was a registered financial professional .

Mollie is a previously registered financial professional and started their career in finance in 2021. Mollie had worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mollie A Dones | Mollie Dones | Mollie Amber Keane-Peck | Mollie K Piechocki

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 12/2020 - DBA for LPL Business (entity for LPL business) - AMF Financial Group - Investment Related - 100% - Hendersonville, TN 37075 2. 04/07/2025 - AMF & ROI Financial - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date: 01/01/2025 - 80 Hrs/Mth - 80 Hrs During Trading. 3.04/07/2025 - AMF & ROI Financial - Investment related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date -01/01/2025 - 80 Hrs/Mth - 80 Hrs During Trading. 4.04/23/2025 - KPP Advisory Services - Investment Related - Registered Investment Advisor Hybrid - Louisville KY - Start Date: 01/01/2025 - 800 Hrs/Mth - 80 Hrs During Trading.I provide administrative support to KPP Advisory Services, an independent investment advisor firm. I started this business activity in 1/2025. I expect to spend approximately 80 hours per month on this activity. Please see the advisory firm�s Form ADV for more information about its address, the nature of its business, its owners, and its services at�http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 31, 2025 - June 24, 2025

KPP ADVISORY SERVICES LLC

RIA
CRD#: 289507
Hendersonville, TN
Past

February 17, 2022 - June 20, 2025

LPL FINANCIAL LLC

RIA
CRD#: 6413
AUBURN, KY
Past

August 2, 2021 - August 3, 2021

INDEPENDENT ADVISOR ALLIANCE, LLC

RIA
CRD#: 168267
Portland, TN
Past

January 28, 2021 - June 20, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KA
KPP ADVISORY SERVICES LLC
DOWDY ROY FINANCIAL | ROI FINANCIAL | MONEY411 | KPPARTNERS ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES LLC

CRD#: 289507 / SEC#: 801-111709

RIA
Registered Investment Advisory firm - (9/15/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/24/2021
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/28/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/2/2020
Securities Industry Essentials Examination

Current Firm

KA
KPP ADVISORY SERVICES LLC
DOWDY ROY FINANCIAL | ROI FINANCIAL | MONEY411 | KPPARTNERS ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES, LLC | KPP ADVISORY SERVICES LLC

CRD#: 289507 / SEC#: 801-111709

RIA
Registered Investment Advisory firm - (9/15/2017 Approved)
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Contact information

Main Address
9300 Shelbyville Rd. Suite 1310, Louisville, KY 40222
Mailing Address
Phone number
(502) 394-0400
Established
Firm type
Fiscal year end
# of Employees
35

SEC notice filing (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV2A KPP ADVISORY SERVICES LLC (2/10/2025)

Regulatory assets under management

Total Number of Accounts3,405
AUM (Assets Under Management)$ 874,251,636

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

KPP ADVISORY SERVICES LLC

CRD#: 289507

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