Alan Spraggins

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2016 → 01/2020
  Edward Jones
  St Louis, MO
• 02/2020 → Present
  Lpl Financial, Llc
  Hot Springs, AR

Previous Registrations

• 2016-10-21 → 2020-01-17
  Edward Jones
  Hot Springs, AR
  Pearcy, AR
  St Louis, MO

Other Businesses

1. 2/26/2020 - ATS Capital Management Inc - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Started 02/01/2020 - Time Spent 0%. 2. 6/22/2020 - Cornerstone Capital Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 6/17/2020 - 200 Hours Per Month/8 Hours During Securities Trading. 3. 07/19/2022 - AMCO -Investment Related - Home Based - Real Estate Rental - Start Date - 06/20/2022 - 10 Hours Per Month/0 Hours During Securities Trading. 4. 2/14/2023 - Cornerstone Wealth Portfolios - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 2/1/2023 - 200 Hours Per Month/8 Hours During Securities Trading

Exams

• S66 Uniform Combined State Law Examination
  2016-08-18

Other Names

• Alan Thomas Spraggins