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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-08-29
UT RA APPROVED 2025-08-29
  • TX RA
    APPROVED
    Since 2025-08-29
  • UT RA
    APPROVED
    Since 2025-08-29

Branch Locations

10421 S Jordan Gtwy Ste 600, South Jordan, UT 84095-3902 • United States

Draper, UT • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc South Jordan UT 12/2003 Present
Financial Advocates Investment Management South Jordan UT 12/2014 08/2025
  • 12/2003 → Present
    South Jordan, UT
  • 12/2014 → 08/2025
    Financial Advocates Investment Management
    South Jordan, UT
Previous Registrations
  • 2014-12-23 → 2025-08-29
    Financial Advocates Investment Management
    Draper, UT
    Olympia, WA
    West Jordan, UT
    South Jordan, UT
    Draper, UT
  • 2004-04-26 → 2014-12-23
    Salt Lake City, UT
    Lehi, UT
Other Businesses

(1) 12/17/2014: COLTON READING - INV REL - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - START 01/01/2002 - 20% OF TIME SPENT - AGENT. INS TYPES: LIFE, HEALTH, LONG-TERM CARE, DISABILITY (2) 12/17/2014: COLTON READING INC. - IVN REL - 1061 E STRAW HAT LN, DRAPER, UT 84020 - REAL ESTATE RENTAL - START 01/01/2000 - 2% OF TIME SPENT - OWNER (3) 01/07/2015: FINANCIAL ADVOCATES INVESTMENT MANAGEMENT - IVN REL - AT REPORTED BUSINESS LOCATION(S) - REGISTERED INVESTMENT ADVISOR HYBRID: FINANCIAL ADVOCATES INVESTMENT MANAGEMENT - 50% OF TIME SPENT - INVESTMENT ADVISER REPRESENTATIVE (4) 01/12/2015: SAGE WEALTH MANAGEMENT - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S) - START 01/06/2015 - 80 HR/MO ALL DURING SECS TRDG HRS (5) 07/16/2015: AMERICAN UNITED INVESTMENT SERVICES - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S) - START 07/13/2015 - 80 HR/MO ALL DURING SECS TRDG HRS (6) 07/21/2015: FAIM - INV REL - AT REPORTED BUSINESS LOCATION(S) - REGISTERED INVESTMENT ADVISOR DBA: AMERICAN UNITED INVESTMENT SERVICES - START 07/13/2015 - 80 HR/MO ALL DURING SECS TRDG HRS (7) 07/21/2015: FINANCIAL ADVOCATES INVESTMENT MANAGEMENT - INV REL - AT REPORTED BUSINESS LOCATION(S) - REGISTERED INVESTMENT ADVISOR DBA: SAGE WEALTH MANAGEMENT - START 01/06/2015 - 80 HR/MO ALL DURING SECS TRDG HRS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-01-08
S63 Uniform Securities Agent State Law Examination 2002-08-17
  • S65 Uniform Investment Adviser Law Examination
    2004-01-08
  • S63 Uniform Securities Agent State Law Examination
    2002-08-17
Other Names
  • Colton Reading

View on SEC IAPD

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