Alan Spraggins is a registered investment advisor at LPL Financial LLC, based in Hot Springs, AR, with 9 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
835 Central Avenue, Suite 310, Hot Springs, AR, 71901
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Alan uses ATS Capital Management Inc. as a business entity for tax/investment purposes, dedicating minimal time. He also operates under DBAs for his LPL business, Cornerstone Capital Management and Cornerstone Wealth Portfolios, spending full-time hours on these activities, and owns rental real estate, dedicating a few hours per week.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
LPL Financial LLC
Edward Jones
Edward JonesBroker
State Registrations3 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.