Lori F. Copeland
SPARTA WEALTH PARTNERS
CHARLOTTE, NC 28211
CRD#: 6437019
Professional summary
Lori Fleischhacker Copeland was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lori is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Prior to being barred, Lori has worked at 3 firms, which includes INDEPENDENT ADVISOR ALLIANCE LLC, LPL FINANCIAL LLC.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lori F Copeland | Lori Fleischhacker
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) 2/26/2021- SilverRock Wealth Partners- DBA for LPL Business (entity for LPL business)- inv. related- Charlotte, NC- 100% 2) 12/22/2021 - SilverRock Wealth Partners, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 1/3/2022 - 120 Hours Per Month/120 Hours During Securities Trading. 3) 1/27/2022 - Independent Advisor Alliance - DBA: (Hybrid) SilverRock Wealth Partners, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date: 01/03/2022 - 120 Hours Per Month/120 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 1/2022. I expect to spend approximately 160 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) 1/27/2022 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 01/03/2022 - 120 Hours Per Month/120 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 1/2022. I expect to spend approximately 160 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.
CRS (Client Relationship Summary) - RIA
Click below to view Lori Fleischhacker Copeland'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
January 27, 2023 - Present
SPARTA WEALTH PARTNERS
Office #1: 4500 Cameron Valley Parkway Suite 130, Charlotte, NC 28211RIA
CRD#: 318036
CHARLOTTE, NC
Past
January 7, 2022 - February 6, 2023
INDEPENDENT ADVISOR ALLIANCE, LLC
RIA
CRD#: 168267
Charlotte, NC
Past
May 26, 2021 - January 30, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
CHARLOTTE, NC
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".
SW
SPARTA WEALTH PARTNERS
SPARTA WEALTH PARTNERS | TOTAL SOLUTIONS ENTERPRISE LLC | TOTAL SOLUTIONS ENTERPRISE
CRD#: 318036 / SEC#: 801-123050
RIA
Registered Investment Advisory firm - (1/20/2022 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.Highlighted states indicate IAR registrations
IAR
Florida(3/14/2023)
IAR
North Carolina(3/30/2023)
IAR
South Carolina(1/27/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/26/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
SW
SPARTA WEALTH PARTNERS
SPARTA WEALTH PARTNERS | TOTAL SOLUTIONS ENTERPRISE LLC | TOTAL SOLUTIONS ENTERPRISE
CRD#: 318036 / SEC#: 801-123050
RIA
Registered Investment Advisory firm - (1/20/2022 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4500 Cameron Valley Parkway Suite 130, Charlotte, NC 28211
Mailing Address
Phone number
(704) 575-1148
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 564 |
| AUM (Assets Under Management) | $ 265,387,750 |
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.
