Steven Conway Spanton

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2025-01-08
TX	RA	APPROVED_RES	2012-09-07

CO RA
APPROVED

Since 2025-01-08
TX RA
APPROVED_RES

Since 2012-09-07

Branch Locations

3535 American Drive Innovative Fin. Mgmt, Colorado Springs, CO 80917 • 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

Organization	City	State	From	To
Lpl Financial	Colorado Springs	CO	10/2010	Present

10/2010 → Present

Lpl Financial

Colorado Springs, CO

Previous Registrations

2002-04-12 → 2010-10-12

Wells Fargo Investments, Llc

Colorado Springs, CO

Colorado Springs, CO

Colorado Springs, CO

Colorado Springs, CO

Colorado Springs, CO

Woodland Park, CO

Colorado Springs, CO

Other Businesses

1. 10/01/10 - INNOVATIVE FINANCIAL MANAGEMENT/ DBA ONLY/ COLORADO SPRINGS, CO 2. 08/06/2014 - ASH BROKERAGE - NON-VARIABLE INSURANCE - TIME SPENT 2 HOURS PER MONTH - COLORADO SPRINGS, CO 3. 08/30/2023 - Spanton Enterprises - Real Estate Rental - Investment Related - Colorado Springs, CO - Start Date 02/01/2013 - 1 Hour Per Month/ 0 Hours During Trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-06-28
S63	Uniform Securities Agent State Law Examination	1990-03-29

S65 Uniform Investment Adviser Law Examination

2000-06-28
S63 Uniform Securities Agent State Law Examination

1990-03-29

View on SEC IAPD

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews