DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Ted Leroy Spurgeon

LPL Financial LLCBD affiliatedCarmel, Indual registrantIAPD 5431803

Feed of 09/14/2026

Also filed as Ted L Spurgeon

At current firm

1 y

since Jul 16, 2025

In the industry

18 y

since Mar 5, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since Jul 16, 2025 · Carmel, In
Key Investment Services LLC BD affiliated
May 8, 2024 to Jul 21, 2025 · Brooklyn, Oh
Pruco Securities, LLC no RAUM
Nov 15, 2023 to Nov 21, 2023 · Indianapolis, In
Meridian Investment Advisors, Inc. independent RIA
Feb 13, 2013 to Mar 10, 2015 · Indianapolis, In
Ternion Advisors unclassified
Jul 7, 2011 to Feb 19, 2013 · Fishers, In
Samex Capital Advisors unclassified
Sep 23, 2010 to Apr 25, 2011 · Fishers, In
Waddell & Reed former
Jun 17, 2008 to Aug 26, 2010 · Charleroi, Pa
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Mar 5, 2008 to Jun 12, 2008 · Indianapolis, In

Moves

a registration end followed by a registration begin elsewhere

Key Investment Services LLC to LPL Financial LLC
left Jul 21, 2025, registered Jul 16, 2025 (-5 days) · Affiliated broker-dealer or bank to another
Pruco Securities, LLC to Key Investment Services LLC
left Nov 21, 2023, registered May 8, 2024 (169 days) · Affiliated broker-dealer or bank to another
Meridian Investment Advisors, Inc. to Pruco Securities, LLC
left Mar 10, 2015, registered Nov 15, 2023 (3172 days) · Other
Ternion Advisors to Meridian Investment Advisors, Inc.
left Feb 19, 2013, registered Feb 13, 2013 (-6 days) · Other
Samex Capital Advisors to Ternion Advisors
left Apr 25, 2011, registered Jul 7, 2011 (73 days) · Other
Waddell & Reed to Samex Capital Advisors
left Aug 26, 2010, registered Sep 23, 2010 (28 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Waddell & Reed
left Jun 12, 2008, registered Jun 17, 2008 (5 days) · Other

Signals

Ted Leroy Spurgeon left Key Investment Services Llc for Lpl Financial Llc (registered 2025-07-16)
Jul 21, 2025 · Advisor changed firm · fact
Ted Leroy Spurgeon left Pruco Securities, Llc for Key Investment Services Llc (registered 2024-05-08)
Nov 21, 2023 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address