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9300 Shelbyville Rd. Suite 1310, Louisville, KY 40222 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2023-10-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Concourse Financial Group Securities Inc | Evansville | IN | 02/1989 | 10/2023 |
| Afg Financial, Llc | Evansville | IN | 09/1988 | Present |
| Lpl Financial Llc | Evansville | IN | 10/2023 | Present |
1) 08/21/2023 - AFG PROPERTIES.LLC - Business Entity - for Real Estate Investments - IN 47714 - Non investment related - Start date: 12/6/2000. 2) 08/21/2023 - AFG & ROI Financial. LLP - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month. 3) 08/21/2023 - AFG FINANCIAL, LLC - Non-Variable Insurance - Selling: Fixed Annuities, Life Insurance and Long Term Care, Ash Brokerage - IN 47714 - Investment related - 40 Hours per month - Start date: 10/1/2019. 4) 10/04/2023 - KPP Advisory Services LLC - Registered Investment Advisor Hybrid - Advisor - Investment Related - At Reported Business Location(s) - Start Date 09/04/2023 - 160 Hours Per Month/ 8 Hours During Trading - I provide investment advisory services through KPP Advisory Services LLC, an independent investment advisor firm. I started this business activity in 9/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's 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 firm is separate from and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-10-11 |
| S63 | Uniform Securities Agent State Law Examination | 1987-06-08 |
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