FS
Fate K. Spurlock
LPL ENTERPRISE
TOPEKA, KS 66614
CRD#: 1261522
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FS
Fate Kellum SpurlockLPL ENTERPRISE
Professional summary
Fate Kellum Spurlock is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Topeka, Kansas.
Fate is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Fate has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Fate Kellum Spurlock's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Fate Kellum Spurlock's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 16, 2026 - Present
LPL ENTERPRISE, LLC
Office #1: 5883 Southwest 29th Street, Topeka, KS 66614RIA
BD
CRD#: 8733
TOPEKA, KS
Current
June 16, 2026 - Present
LPL ENTERPRISE, LLC
Office #1: 5883 Southwest 29th Street, Topeka, KS 66614RIA
BD
CRD#: 8733
TOPEKA, KS
Past
November 1, 2021 - June 18, 2026
AMERITAS ADVISORY SERVICES, LLC
RIA
CRD#: 317245
Topeka, KS
Past
July 21, 2016 - November 1, 2021
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
Topeka, KS
Past
July 20, 2016 - June 18, 2026
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
Topeka, KS
Past
June 9, 2014 - July 12, 2016
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Topeka, KS
Past
May 15, 2014 - July 12, 2016
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Topeka, KS
Past
May 20, 2010 - April 14, 2014
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
TOPEKA, KS
Past
October 4, 2006 - April 14, 2014
NYLIFE SECURITIES LLC
BD
CRD#: 5167
TOPEKA, KS
Past
April 24, 2002 - September 26, 2006
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
TOPEKA, KS
Past
March 27, 1997 - April 30, 2002
CORNERSTONE INVESTMENTS, L.L.C.
BD
CRD#: 38042
TOPEKA, KS
Past
November 22, 1988 - March 28, 1997
CARILLON INVESTMENTS, INC.
BD
CRD#: 14646
CINCINNATI, OH
Past
May 21, 1984 - February 4, 1989
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(6/16/2026)
RR
Colorado(6/16/2026)
RR
Florida(6/16/2026)
RR
Kansas(6/16/2026)
IAR
Kansas(6/16/2026)
RR
Maryland(6/16/2026)
RR
Missouri(6/16/2026)
RR
Nebraska(6/16/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
