KS
Kristen H. Spurlock
LPL ENTERPRISE
GLEN ALLEN, VA 23060
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CRD#: 5326189
KS
Professional summary
Kristen Hirning Spurlock, who also goes by Kristen Joan Hirning, Kristen Hirning Spurlock, Kristen Joan Spurlock, Kristen Spurlock, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Glen Allen, Virginia.
Kristen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Kristen has worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kristen Joan Hirning | Kristen Hirning Spurlock | Kristen Joan Spurlock | Kristen Spurlock
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.
Kristen Spurlock~501 Linden St, Roanoke, VA 24014~rental property~N~owner~9/2017~025 hrs/mo~0 trading hrs/mo RENTAL PROPERTY POSITION: owner NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2021 ADDRESS: 265 Central Dr, Ocracoke NC 27960, United States DESCRIPTION: owner of property
CRS (Client Relationship Summary) - RIA
Click below to view Kristen Hirning Spurlock's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kristen Hirning 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
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 4860 Cox Road Suite 100, Glen Allen, VA 23060RIA
BD
CRD#: 8733
GLEN ALLEN, VA
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 4860 Cox Road Suite 100, Glen Allen, VA 23060RIA
BD
CRD#: 8733
GLEN ALLEN, VA
Past
September 20, 2017 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
GLEN ALLEN, VA
Past
September 7, 2017 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
GLEN ALLEN, VA
Past
March 25, 2017 - September 5, 2017
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
RICHMOND, VA
Past
December 16, 2009 - January 20, 2015
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
RICHMOND, VA
Past
June 4, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
ROANOKE, VA
Past
June 4, 2007 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
RICHMOND, VA
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.Highlighted states indicate IAR registrations
IAR
Virginia(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product 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 |
| 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#: 8733Glen Allen, VA 23060TRUST BUT VERIFY
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