Stephen Lynn Wade

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

• 10/2011 → Present
  Lpl Financial Llc
  Fredericksburg, TX
• 03/2016 → Present
  Steve Wade Investment Services, Llc
  Fredericksburg, TX

Previous Registrations

• 2007-05-07 → 2011-10-13
  Chase Investment Services Corp.
  Fredericksburg, TX
  Fredericksburg, TX

Other Businesses

1. 9/3/2013: DBA ONLY - STEVE WADE INVESTMENT SERVICES - FREDERICKSBURG, TX. 2. 3/21/2016; Steve Wade Investment Services, LLC; DBA for LPL Business (entity for LPL business); INV REL; AT REPORTED BUSINESS LOCATION; START 01/01/2016; A no, B no, C no, D no. I presently listed as Steve Wade Investment Services - Sole Proprietorship for my LPL office and am changing it to LLC. I am listing the start date as the beginning of the year because I applied for the LLC with the State of Texas at the beginning of the year and it was just approved.;40 PER MONTH; 7 HOURS DURING SEC TRADING. 3. 11/05/2021 - Gillespie Farm Mutual Ins. Co. - Not Investment Related - At Reported Business Location(s) - Outside/W-2 Employment - Start Date: 11/08/2021 - 30 Hours Per Month/1 Hour During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-05-04
• S63 Uniform Securities Agent State Law Examination
  2002-06-06