Kenneth C Sprague

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

• 07/2013 → 11/2024
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Houston, TX
• 06/2025 → Present
  Lpl Financial Llc
  Houston, TX
• 11/2024 → Present
  Cadence Bank
  Houston, TX

Previous Registrations

• 2013-09-06 → 2024-11-08
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Dallas, TX
  Houston, TX
  Houston, TX
  New York, NY
  Houston, TX
• 2007-06-13 → 2013-04-24
  Citigroup Global Markets Inc.
  Dallas, TX
  San Antonio, TX
  Laguna Hills, CA
  Houston, TX
  New York, NY
  Dallas, TX
• 2005-06-15 → 2005-12-16
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Houston, TX

Other Businesses

1 - 01/2025 - CADENCE INVESTMENT SERVICES - DBA for LPL Business (entity for LPL business) - Inv Related - At reported business location(s).

Exams

• S66 Uniform Combined State Law Examination
  2005-06-14

Other Names

• Kenneth C Sprague
• Kenneth C Sprague
• Kenneth C Sprague