Steven R. Graham

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2012 → 09/2020
  J.P. Morgan Securities Llc
  Valencia, CA
• 01/2016 → 06/2025
  C.I.T.E. Institute
  Santa Clarita, CA
• 09/2020 → 06/2025
  Western International Securities, Inc.
  Pasadena, CA
• 06/2025 → Present
  Lpl Financial Llc
  Valencia, CA

Previous Registrations

• 2020-09-04 → 2025-06-05
  Western International Securities, Inc.
  Pasadena, CA
  Valencia, CA
  Westlake Village, CA
  Valencia, CA
• 2012-10-01 → 2020-09-18
  J.P. Morgan Securities Llc
  Valencia, CA
  Valencia, CA
  Saugus, CA
  Newhall, CA
  Saugus, CA
  Valencia, CA
  Castaic, CA
• 2009-06-17 → 2012-10-01
  Chase Investment Services Corp.
  Valencia, CA
  Valencia, CA
  Granada Hills, CA
  Valencia, CA
  Castaic, CA
  Saugus, CA
  Agoura Hills, CA
  Calabasas, CA
  Venice, CA
  Marina Del Rey, CA
  Ventura, CA
  Goleta, CA
  Thousand Oaks, CA
  Ventura, CA
  Santa Monica, CA
  Calabasas, CA
  Pacific Palisades, CA
  Simi Valley, CA
  Santa Monica, CA
  Malibu, CA
  Ventura, CA
  Santa Barbara, CA
  Simi Valley, CA
  Thousand Oaks, CA
  Los Angeles, CA
  Los Angeles, CA
  Camarillo, CA
  Camarillo, CA
  Oxnard, CA
  Santa Monica, CA
  Santa Barbara, CA
  Ojai, CA
  Carpinteria, CA
  Port Hueneme, CA
  Westlake Village, CA
  Los Angeles, CA
  Los Angeles, CA
  Oxnard, CA
  Ventura, CA
  Moorpark, CA
  Simi Valley, CA
  Newbury Park, CA
  Los Angeles, CA
  Westlake Village, CA
  Los Angeles, CA
  Oxnard, CA
  Newhall, CA
  Saugus, CA
  San Luis Obispo, CA

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-06-15
• S63 Uniform Securities Agent State Law Examination
  1989-09-05

Other Names

• Steven Robert Graham
• Steven Graham
• Steve Graham
• Steven R Graham