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Steven R. Graham

LPl Financial LLC

Valencia, CA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED_RES 2025-07-24
AZ RA APPROVED 2025-06-05
NH RA APPROVED 2025-06-05
TX RA APPROVED_RES 2025-06-05
  • CA RA
    APPROVED_RES
    Since 2025-07-24
  • AZ RA
    APPROVED
    Since 2025-06-05
  • NH RA
    APPROVED
    Since 2025-06-05
  • TX RA
    APPROVED_RES
    Since 2025-06-05

Branch Locations

25350 Magic Mountain Pkwy. Ste. 300, Valencia, CA 91355 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial Yes
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Valencia CA 10/2012 09/2020
C.I.T.E. Institute Santa Clarita CA 01/2016 06/2025
Western International Securities, Inc. Pasadena CA 09/2020 06/2025
Lpl Financial Llc Valencia CA 06/2025 Present
  • 10/2012 → 09/2020
    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
    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
    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
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-06-15
S63 Uniform Securities Agent State Law Examination 1989-09-05
  • 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

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