Steve Dean Williams

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

• 05/2012 → 07/2020
  Nationwide Financial
  Dublin, OH
• 05/2012 → 07/2020
  Nationwide Securities Llc
  Dublin, OH
• 07/2020 → Present
  Lpl Financial Llc
  Asheboro, NC

Previous Registrations

• 2001-12-31 → 2012-05-08
  Equitable Advisors, Llc
  Asheboro, NC
  Asheboro, NC

Other Businesses

1) 12/05/2023 - Financial Independence Group - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 12/01/2023 - 202 Hours Per Month/ 2 Hours During Trading 2) 10/02/2024 - Insurance Associates of the Triad - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 07/01/2020 - 10 Hours Per Month/ During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2020-07-20
• S66 Uniform Combined State Law Examination
  2000-08-18