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RS

Robert J. Sprawls

Some features on this profile are disabled
CRD#: 1287825
RS

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"?
No

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.
The advisor shows no other business activity.

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

BD
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.

BD
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

BD
CRD#: 120222
LOUISVILLE, KY
Past

January 5, 2010 - April 29, 2010

WOODBURY FINANCIAL SERVICES, INC.

BD
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.

BD
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

BD
CRD#: 4082
NEWARK, DE
Past

September 24, 1984 - November 16, 1994

PRUCO SECURITIES, LLC.

BD
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".
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
IAR
Series 65
Date: 10/30/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/8/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/24/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/21/1984
Investment Company Products/Variable Contracts Representative 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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