Eric R. Poole
KPP ADVISORY SERVICES LLC
Louisville, KY 40222
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CRD#: 6267134
Professional summary
Eric Robert Poole, CFP® is a registered financial advisor currently at KPP ADVISORY SERVICES LLC located in Louisville, Kentucky and LPL FINANCIAL LLC located in Louisville, Kentucky.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Eric has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. 4/28/2014 - KENTUCKY PLANNING PARTNERS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%.
2. 4/1/2016 - LTCI Partners - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - START DATE 03/22/2016 - 5 Hours Per Month/1 Hour During Securities Trading - As a Financial Planner and CFP, I would like to be able to help my clients and prospective clients with their Long-Term Care needs. Given the new LPL policies, we will be using LTCi, thus I need to create this OBA.
3. 11/2/2017 - KPP Advisory Services LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 10/02/2017 - 40 Hours Per Month During Securities Trading - I provide investment advisory services through KPP Advisory Services LLC, an independent investment advisor firm. I started this business activity in 10/2017. I expect to spend approximately 40 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.
4. 11/21/2018 - Crump - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 11/01/2018 - 2 Hours Per Month During Securities Trading.
5. 11/21/2018 - The Guardian - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 10/29/2018 - 2 Hours Per Month During Securities Trading.
6. 12/4/2019 - Poole Financial Planning, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 12/22/2016 - 50 Hours Per Month/6 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Robert Poole'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®
CFP®
Start date: 2016
Experience
Current
October 5, 2017 - Present
KPP ADVISORY SERVICES LLC
Office #1: 9300 Shelbyville Rd. Suite 1310, Louisville, KY 40222RIA
CRD#: 289507
Louisville, KY
Current
May 16, 2014 - Present
LPL FINANCIAL LLC
Office #1: 9300 Shelbyville Rd Ste. 1310, Louisville, KY 40222-5170RIA
BD
CRD#: 6413
LOUISVILLE, KY
Past
June 11, 2014 - February 27, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
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.
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
Delaware(1/5/2015)
RR
Florida(7/29/2016)
RR
Illinois(4/21/2017)
RR
Indiana(11/18/2014)
RR
Kentucky(6/5/2014)
IAR
Kentucky(10/9/2017)
RR
South Carolina(1/22/2021)
RR
Tennessee(9/17/2015)
RR
Texas(9/25/2025)
RR
Virginia(3/20/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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)Upgrade to AdvisorCheck Premium
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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)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,405 |
| AUM (Assets Under Management) | $ 874,251,636 |
Red Flags
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Company Information
KPP ADVISORY SERVICES LLC
CRD#: 289507Louisville, KY 40222TRUST BUT VERIFY
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