KS
Kayla M. Stark
LPL ENTERPRISE
HOUSTON, TX 77027
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CRD#: 5878440
KS
Professional summary
Kayla Michelle Stark, who also goes by Kayla Michelle Stone, Kayla Stone, Kayla Stark, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Houston, Texas.
Kayla is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Kayla has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kayla Michelle Stone | Kayla Stone | Kayla Stark
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) 10/30/2024- Orangefield Little Dribblers- Non-Profit Board Member-Attend board meetings to discuss upcoming and current year plans and duties. Help decorate and set up for opening ceremonies for the year. Cover two board duties during basketball season - oversee the gym schedule and make sure everything is running according to plan and that rules are followed. Fill in for timekeeping and bookkeeping for the games when needed. Assist in ordering jerseys for the regular and all-star seasons; no check writing privileges. Coach during the regular season.- Not INV Related- At Houston, TX- Start date 10/01/2019- 2 HRS MTH- 0 HRS During Trading 2) 10/02/2024- Healthcare/Medicare Supplements- Non-Variable Insurance- When appropriate, Medicare is discussed with clients and prospective clients. I am currently appointed with United American Insurance company to sell their supplements/products and be listed as servicing agent on these policies.- INV Related- At Houston, TX- Start date 01/01/2022- 1 HRS MTH- 1 HRS During Trading 3) 10/02/2024- Genworth- Non-Variable Insurance- Servicing agent for an in-force Genworth policy. No future commissions will be paid.- INV Related- At Houston, TX- Start date 08/10/2011-0 HRS MTH- 0 HRS During Trading 4) 10/02/2024- Orange Texas Rotary Club-Non-profit volunteer (not on board)- As a member, I attend weekly meetings and volunteer at different events the Rotary Club is participating in.- Not INV Related- At Houston, TX- Start date 11/01/2023-5 HRS MTH- 4 HRS During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Kayla Michelle Stark's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kayla Michelle Stark'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: 1233 West Loop South Suite 1100, Houston, TX 77027Office #2: 5572 Fm 408 Suite B, Orange, TX 77630RIA
BD
CRD#: 8733
HOUSTON, TX
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1233 West Loop South Suite 1100, Houston, TX 77027Office #2: 5572 Fm 408 Suite B, Orange, TX 77630RIA
BD
CRD#: 8733
HOUSTON, TX
Past
June 27, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
HOUSTON, TX
Past
June 23, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
HOUSTON, TX
Past
October 22, 2019 - June 26, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Beaumont, TX
Past
October 22, 2019 - June 26, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Beaumont, TX
Past
August 8, 2011 - October 1, 2019
EDWARD JONES
RIA
CRD#: 250
LAKE CHARLES, LA
Past
May 26, 2011 - October 1, 2019
EDWARD JONES
BD
CRD#: 250
LAKE CHARLES, LA
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
Louisiana(11/14/2024)
RR
Mississippi(11/14/2024)
RR
Texas(11/14/2024)
IAR
Texas(11/14/2024)
Exams
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 |
| 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.
