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David Jay Steele

LPl Financial LLC

Fort Mill, SC

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-03-02
SC RA APPROVED 2021-10-19
  • TX RA
    APPROVED
    Since 2022-03-02
  • SC RA
    APPROVED
    Since 2021-10-19

Branch Locations

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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Tiaa-Cref Individual & Institutional Services, Llc Charlotte NC 03/2013 11/2017
Lpl Financial Llc Fort Mill SC 06/2021 Present
Wells Fargo Charlotte NC 11/2018 06/2021
Unemployed Charlotte NC 12/2017 10/2018
  • 03/2013 → 11/2017
    Tiaa-Cref Individual & Institutional Services, Llc
    Charlotte, NC
  • 06/2021 → Present
    Lpl Financial Llc
    Fort Mill, SC
  • 11/2018 → 06/2021
    Wells Fargo
    Charlotte, NC
  • 12/2017 → 10/2018
    Unemployed
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-10-18
S63 Uniform Securities Agent State Law Examination 2013-04-15
  • S66 Uniform Combined State Law Examination
    2021-10-18
  • S63 Uniform Securities Agent State Law Examination
    2013-04-15
Other Names
  • David Jay Steele
  • David Steele

View on SEC IAPD

Other Firms

STATE FARM INVESTMENT MANAGEMENT CORP.
BELLEAIR WEALTH MANAGEMENT, LLC
WEALTHCARE ADVISORY PARTNERS LLC
INSIGHT SECURITIES, INC.
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
EDWARD JONES
SCHWAB WEALTH ADVISORY, INC.
PFS INVESTMENTS INC.

Other Investors

ALPESH JITENDRA PATEL
Tamrah Jennifer Bordini
MATTHEW N WALLEN
RAMIRO IGNACIO PARES
NILDA MELGAREJO DE BOYRIE
STEVEN Samuel SHANEYFELT
Katie Wineski Riegel
Christopher Wayne McAlister

Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Fort Mill, SC
BELLEAIR WEALTH MANAGEMENT, LLC · Fort Mill, SC
WEALTHCARE ADVISORY PARTNERS LLC · Fort Mill, SC
INSIGHT SECURITIES, INC. · Fort Mill, SC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Fort Mill, SC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Ft Mill, SC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Ft Mill, SC
EDWARD JONES · FORT MILL, SC

More in Fort Mill, SC

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