VC
Vance W. Copenhaver
LPL ENTERPRISE
Cincinnati, OH 45209
Some features on this profile are disabled
CRD#: 2387101
VC
Professional summary
Vance Walter Copenhaver, CLU®, who also goes by Vance Walter Coperhaver, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Cincinnati, Ohio.
Vance is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Vance has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10, Series 9, Series 24, Series 51, Series 26, Series 4 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Vance Walter Coperhaver
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. 07/30/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - INV REL - Batavia, OH - Start Date 07/29/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING 2. 07/30/2025 - VANCE COPENHAVER N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - Batavia, OH - Start Date 07/29/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING 3. 07/30/2025 - Ken and Luanne Copenhaver - Act in a Fiduciary Capacity - NOT INV REL - Batavia, OH - Start Date 06/28/2021 - 0 HRS/MO | 0 HRS/MO DURING TRADING 4. 07/30/2025 - Jacqueline and Jim Pohlman - Act in a Fiduciary Capacity - NOT INV REL - Batavia, OH - Start Date 06/01/2021 - 0 HRS/MO | 0 HRS/MO DURING TRADING 5. 07/30/2025 - Jack and Lucille Cox - Act in a Fiduciary Capacity - NOT INV REL - Batavia, OH - Start Date 10/01/2014 - 0 HRS/MO | 0 HRS/MO DURING TRADING 6. 07/30/2025 - Ken Copenhaver - Act in a Fiduciary Capacity - NOT INV REL - Batavia, OH - Start Date 02/01/2011 - 0 HRS/MO | 0 HRS/MO DURING TRADING 7. 07/30/2025 - Horse Training - Farm - NOT INV REL - Batavia, OH - Start Date 01/01/2024 - 6 HRS/MO | 0 HRS/MO DURING TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Vance Walter Copenhaver's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Vance Walter Copenhaver'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®
Experience
Current
August 1, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 4030 Smith Road Suite 200, Cincinnati, OH 45209RIA
BD
CRD#: 8733
Cincinnati, OH
Current
July 30, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 4030 Smith Road Suite 200, Cincinnati, OH 45209RIA
BD
CRD#: 8733
Cincinnati, OH
Past
October 2, 2008 - April 8, 2025
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
BATAVIA, OH
Past
October 18, 2005 - April 8, 2025
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
CINCINNATI, OH
Past
August 13, 1993 - October 21, 2005
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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
Florida(9/18/2025)
RR
Kentucky(9/15/2025)
RR
North Carolina(9/8/2025)
RR
Ohio(7/31/2025)
IAR
Ohio(8/1/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 6/22/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| 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.
Company Information
LPL ENTERPRISE, LLC
CRD#: 8733Cincinnati, OH 45209TRUST BUT VERIFY
Monitor Vance Copenhaver
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
