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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2022-08-25
TX RA APPROVED 2011-06-29
  • AR RA
    APPROVED
    Since 2022-08-25
  • TX RA
    APPROVED
    Since 2011-06-29

Branch Locations

10201 W Markham St., Ste 100, Little Rock, AR 72205 • United States

Stoffel Financial Advisor'S, Llc

1519 S. Bowman Rd. Suite H, Little Rock, AR 72211 • United States

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2022-01-28
  • AR RA
    APPROVED
    Since 2022-01-28

Branch Locations

1519 S. Bowman Rd. Suite H, Little Rock, AR 72211 • 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 Little Rock AR 06/2011 Present
Genwealth Financial Advisors Little Rock AR 09/2011 04/2018
Stoffel Financial Adivsors, Llc Little Rock AR 07/2018 Present
  • 06/2011 → Present
    Little Rock, AR
  • 09/2011 → 04/2018
    Genwealth Financial Advisors
    Little Rock, AR
  • 07/2018 → Present
    Stoffel Financial Adivsors, Llc
    Little Rock, AR
Previous Registrations
  • 2018-09-27 → 2021-12-31
    Little Rock, AR
  • 2011-09-14 → 2018-03-01
    Genwealth Financial Advisors, Llc
    Bryant, AR
  • 2009-02-03 → 2011-06-20
    Uvest Financial Services Group, Inc.
    Bastrop, TX
    La Grange, TX
    Lakeway, TX
  • 2008-06-02 → 2009-02-09
    Investment Professionals, Inc.
    San Antonio, TX
    Bastrop, TX
    Bastrop, TX
  • 2007-04-16 → 2008-06-04
    Irving, TX
    West Point, TX
Other Businesses

1) 3/5/2018 - Stoffel Financial Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 3/1/2018 - 25 Hours Per Month/1 Hour During Trading. 2) 8/23/2018 - Stoffel Financial Adivsors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Start Date:07/30/2018 - 15 Hours Per Month/10 Hours During Trading - I provide financial planning and consulting services through Stoffel Financial Advisors LLC., an independent investment advisor firm. I started this business activity in August 2018. I expect to spend approximately 15 hours per month on this activity. Please see the advisory firm 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 advisory firm is separate from and independent of LPL Financial. 3) 11/14/2023 - Stoffel Financial Advisors - Non-Variable Insurance - Advisor - Investment Related - At Reported Business Location(s) - Start Date 11/06/2023 - 10 Hours Per Month/ 1 Hour During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-04-13
  • S66 Uniform Combined State Law Examination
    2007-04-13

View on SEC IAPD

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