DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

JAMES KENNETH SPANN

Advisor at IP FINANCIAL ADVISORY SERVICES LLC

Ooltewah, TN | CHARLOTTE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2cf7871e-6a68-c394-0c80-af5476a723b5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: IP FINANCIAL ADVISORY SERVICES LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Sep 23, 1998
First registration: Mar 28, 2003
Dual registered: yes, broker-dealer
Other names: KEN SPANN
IAPD individual key: 2291402

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
IP FINANCIAL ADVISORY SERVICES LLC	Independent wealth	Oct 12, 2021	n/a	yes	Ooltewah, TN\|CHARLOTTE, NC	Current employment
WOODBURY FINANCIAL SERVICES, INC.	Former SEC adviser	Mar 1, 2019	Oct 12, 2021	no	OOLTEWAH, TN	Previous registration
QUESTAR ASSET MANAGEMENT, INC.	Former SEC adviser	Apr 30, 2015	Mar 1, 2019	no	OOLTEWAH, TN\|MINNEAPOLIS, MN	Previous registration
LEGEND ADVISORY, LLC	Former SEC adviser	Mar 17, 2015	Apr 24, 2015	no	OOLTEWAH, TN\|PALM BEACH GARDENS, FL	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Mar 28, 2003	Mar 12, 2015	no	KNOXVILLE, TN\|BRENTWOOD, TN\|ATLANTA, GA\|KNOXVILLE, TN\|KNOXVILLE, TN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WOODBURY FINANCIAL SERVICES, INC.	IP FINANCIAL ADVISORY SERVICES LLC	Oct 12, 2021	Oct 12, 2021	0	Firm change	Ibd to ibd
QUESTAR ASSET MANAGEMENT, INC.	WOODBURY FINANCIAL SERVICES, INC.	Mar 1, 2019	Mar 1, 2019	0	Bulk transfer	Ibd to ibd
LEGEND ADVISORY, LLC	QUESTAR ASSET MANAGEMENT, INC.	Apr 24, 2015	Apr 30, 2015	6	Firm change	Other
VALIC FINANCIAL ADVISORS, INC.	LEGEND ADVISORY, LLC	Mar 12, 2015	Mar 17, 2015	5	Firm change	Other

Relationships

Registered with (5)

→ IP FINANCIAL ADVISORY SERVICES LLCRegistered adviserregistration: current employment
Oct 12, 2021 to presentfactForm ADV
→ WOODBURY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Mar 1, 2019 to Oct 12, 2021factForm ADV
→ QUESTAR ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Apr 30, 2015 to Mar 1, 2019factForm ADV
→ LEGEND ADVISORY, LLCRegistered adviserregistration: previous registration
Mar 17, 2015 to Apr 24, 2015factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Mar 28, 2003 to Mar 12, 2015factForm ADV

Dated events

No dated event names this entity yet.