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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2025-02-05
TX RA APPROVED 2025-02-04
  • IN RA
    APPROVED
    Since 2025-02-05
  • TX RA
    APPROVED
    Since 2025-02-04

Branch Locations

8888 Keystone Crossing Suite 1300, Indianapolis, IN 46240 • 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
Valic Financial Advisors Carmel IN 10/2010 02/2025
Agia Houston TX 12/2022 Present
Lpl Enterprise Indianapolis IN 02/2025 Present
  • 10/2010 → 02/2025
    Valic Financial Advisors
    Carmel, IN
  • 12/2022 → Present
    Agia
    Houston, TX
  • 02/2025 → Present
    Lpl Enterprise
    Indianapolis, IN
Previous Registrations
  • 2010-10-14 → 2025-03-18
    Carmel, IN
    Carmel, IN
  • 2009-03-04 → 2010-04-13
    Indianapolis, IN
  • 2008-08-11 → 2008-12-02
    Cetera Investment Services Llc
    Lafayette, IN
  • 2007-09-20 → 2008-08-12
    Raymond James Financial Services, Inc.
    Lafayette, IN
  • 2006-02-27 → 2007-08-17
    Invest Financial Corporation
    Zionsville, IN
    Indianapolis, IN
    Muncie, IN
    Carmel, IN
    Indianapolis, IN
    Indianapolis, IN
  • 2006-01-17 → 2006-02-16
    Ameriprise Advisor Services, Inc.
    Indianapolis, IN
  • 2003-09-05 → 2006-01-09
    Ifmg Securities, Inc.
    Indianapolis, IN
  • 2001-11-01 → 2002-10-15
    Indianapolis, IN
Other Businesses

1. 01/29/2025 - Sandpiper Lane - Real Estate Rental - INV REL - Gulf Shores, AL - Start Date 06/01/2021 - 4hrs/MTH

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-10-22
S63 Uniform Securities Agent State Law Examination 1990-12-11
  • S66 Uniform Combined State Law Examination
    2001-10-22
  • S63 Uniform Securities Agent State Law Examination
    1990-12-11
Designations
Other Names
  • Kevin C Cole

View on SEC IAPD

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