Robert J. Sprawls

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CRD#: 1287825

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.

Robert Jon Sprawls, who also goes by *robert Jon Sprawls, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

*robert Jon Sprawls

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) 5/2022 - DBA for LPL Business (entity for LPL business) - Kentucky Planning Partners - Investment Related - Louisville, KY 40205 2) 4/2015 - DBA for LPL Business (entity for LPL business) - Sprawls Financial - Investment Related - 160 hr/mon - 100% - Louisville, KY 40205 3) 5/2022 - Non-Variable Insurance - Robert Sprawls - Investment Related - 5% - Louisville, KY 40205 4) 05/26/2022 - Sprawls Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR/Advisor - Start Date - 4/21/2015 - 160 Hours Per Month/ 8 Hours During Securities Trading - Time Spent 100%. 5) 05/26/2022 - KPP Advisory Services, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR/Advisor - Start Date - 5/2022 - 160 Hours Per Month/ 8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through KPP Advisory Services, LLC, an independent investment advisor firm. I started this business activity in 5/2022. I expect to spend approximately 160 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

May 23, 2022 - August 23, 2022

KPP ADVISORY SERVICES LLC

RIA

CRD#: 289507

Louisville, KY

Past

May 23, 2022 - August 25, 2022

LPL FINANCIAL LLC

CRD#: 6413

LOUISVILLE, KY

Past

November 25, 2020 - May 25, 2022

THURSTON SPRINGER ADVISORS

RIA

CRD#: 299201

Louisville, KY

Past

April 24, 2015 - July 6, 2021

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

RIA

CRD#: 8478

Louisville, KY

Past

April 24, 2015 - May 25, 2022

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

CRD#: 8478

Louisville, KY

Past

April 27, 2010 - May 11, 2015

PRIVATE CLIENT SERVICES, LLC

RIA

CRD#: 120222

LOUISVILLE, KY

Past

April 27, 2010 - May 11, 2015

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

LOUISVILLE, KY

Past

January 5, 2010 - April 29, 2010

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

LOUISVILLE, KY

Past

January 4, 2010 - April 29, 2010

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

LOUISVILLE, KY

Past

November 1, 2007 - December 31, 2009

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

LOUISVILLE, KY

Past

August 7, 2003 - December 31, 2009

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

LOUISVILLE, KY

Past

March 25, 2002 - December 5, 2006

PRIVATE CLIENT SERVICES, LLC

RIA

CRD#: 120222

LOUISVILLE, KY

Past

July 13, 1994 - August 15, 2003

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

September 24, 1984 - November 16, 1994

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/30/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/8/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/24/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/21/1984

Investment Company Products/Variable Contracts Representative Examination

Current Firm

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

SEC notice filing (26 States and Territories)

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 Accounts	3,405
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.

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Advisor Monitoring

Firm Stability Insights

Robert J. Sprawls

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

THURSTON SPRINGER ADVISORS

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

PRIVATE CLIENT SERVICES, LLC

PRIVATE CLIENT SERVICES, LLC

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

PRIVATE CLIENT SERVICES, LLC

1717 CAPITAL MANAGEMENT COMPANY

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

KPP ADVISORY SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/30/1995

Series 63

Date: 10/8/1984

SIE

Date: 10/1/2018

Series 7

Date: 9/24/2007

Series 6

Date: 9/21/1984

Current Firm

KPP ADVISORY SERVICES LLC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KPP ADVISORY SERVICES LLC

TRUST BUT VERIFY

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