Stephen Brian Rouse

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2023-07-19

CA RA
APPROVED

Since 2023-07-19

Branch Locations

4501 E La Palma, Anaheim, CA 92807 • United States

4400 Macarthur Blvd Ste 100, Newport Beach, CA 92660 • 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

Organization	City	State	From	To
Bank Of The West	Tustin	CA	08/2012	02/2022
Bmo Bank Na	Newport Beach	CA	02/2022	Present
Lpl Financial Llc	Mission Viejo	CA	07/2023	Present

08/2012 → 02/2022

Bank Of The West

Tustin, CA
02/2022 → Present

Bmo Bank Na

Newport Beach, CA
07/2023 → Present

Lpl Financial Llc

Mission Viejo, CA

Previous Registrations

2022-06-13 → 2023-07-19

Bancwest Investment Services, Inc.

Newport Beach, CA

Tustin, CA

Garden Grove, CA

Santa Ana, CA

Mission Viejo, CA

Anaheim, CA
2004-07-28 → 2005-12-07

Wells Fargo Investments, Llc

Orange, CA
2002-02-13 → 2002-07-25

Morgan Stanley Dw Inc.

Santa Ana, CA

Other Businesses

1. 04/26/2023 - BMO Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) 2. 04/26/2023 - BMO Bank NA - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Premier Banker - Start Date 06/19/2023 - 80 Hours Per Month/ 4 Hours During Securities Trading - Time Spent 40%

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-04-04

S66 Uniform Combined State Law Examination

2022-04-04

Other Names

Stephen Rouse

View on SEC IAPD