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Detailed Report
Lori Fleischhacker Copeland
LORI F COPELAND, Lori Fleischhacker
CRD#: 6437019
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Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
SPARTA WEALTH PARTNERSCRD#: 318036 CHARLOTTE, NC
Registration History
202120222023202420252026IASPARTA WEALTH PARTNERS (CRD# 318036)2023 - Present (2 years)BLPL FINANCIAL LLC (CRD# 6413)2021 - 2023 (1 year)IAINDEPENDENT ADVISOR ALLIANCE, LLC (CRD# 168267)2022 - 2023 (1 year)
Disclosure(s)
View By:
2/21/2024
Regulatory
Final
1/18/2023
Employment Separation After Allegations
1/18/2023
Employment Separation After Allegations
License(s)

State Registrations

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Florida 3/14/2023
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South Carolina 1/27/2023
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North Carolina 3/30/2023
Current Registration(s)
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SPARTA WEALTH PARTNERS (CRD#:318036)
CHARLOTTE, NC
Registered with this firm since 1/27/2023
Previous Registration(s)
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 01/07/2022 - 02/06/2023 INDEPENDENT ADVISOR ALLIANCE, LLC (CRD#:168267) Charlotte, NC
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 05/26/2021 - 01/30/2023 LPL FINANCIAL LLC (CRD#:6413) CHARLOTTE, NC
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.