Steven Albert Dean

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2017-03-01
ME	RA	APPROVED	2007-07-27

TX RA
APPROVED_RES

Since 2017-03-01
ME RA
APPROVED

Since 2007-07-27

Branch Locations

Otis Federal Credit Union 170 Main Street / P.O. Box 27, Jay, ME 04239 • United States

Oxford Federal Credit Union 225 River Road / P.O. Box 252, Mexico, ME 04257 • United States

59 Main Street, Madison, ME 04950 • United States

54 Fair Street Oxford Fcu, Norway, ME 04268 • United States

Northeast Planning Associates, Inc.

43 Constitution Drive, Bedford, NH 03110 • United States

Current Registrations

Authority	Category	Status	Date
ME	RA	APPROVED	2004-07-27

ME RA
APPROVED

Since 2004-07-27

Branch Locations

59 Main Street, Madison, ME 04950 • United States

43 Constitution Drive, Bedford, NH 03110 • United States

Disclosures

1 disclosure category 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 No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Independent Appraisals (Self Employed)	Madison	ME	10/1992	12/2020
Northeast Planning Associates, Inc.	Madison	ME	11/2003	Present
Lpl Financial Llc	Madison	ME	07/2007	Present

10/1992 → 12/2020

Independent Appraisals (Self Employed)

Madison, ME
11/2003 → Present

Northeast Planning Associates, Inc.

Madison, ME
07/2007 → Present

Lpl Financial Llc

Madison, ME

Previous Registrations

2003-11-26 → 2004-09-29

Mutual Service Corporation

Madison, ME
2002-08-22 → 2003-11-13

Veravest Investment Advisors, Inc.

Madison, ME

Other Businesses

1. 7/19/2007 - No Business Name - Other - NOT INV REL - AT REPORTED BUSINESS LOCATION - CERTIFIED REAL ESTATE APPRAISER - 1% Time Spent 2. 7/19/2007 - Northeast Planning Associates Inc - Investment Related - At Reported Business Location(s) - At Reported Business Location(s). 3. 7/19/2007 - CONCEPTS IN BENEFITS - Non-Variable Insurance - INV REL - At Reported Business Location(s) - Medical group insurance. 4. 11/16/2007 - NORTHEAST PLANNING ASSOCIATES, INC - Registered Investment Advisor - INV REL - At Reported Business Location(s) - RIA PROVIDES FINANCIAL PLANNING FOR A FIXED AND/OR HOURLY FEE.- 20% TIME SPENT 5. 5/23/2012 - DEAN SELF STORAGE - Business Owner - NOT INV REL - At Reported Business Location(s) - Self Storage building unrelated to any security or advisory business through LPL Financial. Storage space is available for monthly rent. - TIME SPENT 5% 6. 06/27/2016: Dawn Chambers Agency - Non-Variable Insurance - INV REL - Start 01/01/2007 - 59 Main Street, Madison, ME 04950; Oxford Federal Credit Union, 225 River Road, Mexico, ME 04257; Otis Federal Credit Union; 170 Main Street, Jay, ME 04239 - Working with this agency to quote and sell life, health, disability and LTC contracts. - 3 Hr/Mo; 0 During Securities Trading 7. 09/06/2016: No Business Name - Real Estate Rental - Inv Rel - 57 Main Street, Madison, ME 04950 - Start 12/01/1999 - Real Estate Rental - 2hrs/mo; 0 during securities trading hrs. 8. 05/17/2019 - PDB Development, Inc. - Not investment related - 2231 East Pecos Road, Suite 2, Chandler, AZ 85225 - co-Business Owner - start date:02/22/2019 - 1 hr/mo - 1 hr during trading - Shareholder/Owner.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-08-30
S63	Uniform Securities Agent State Law Examination	1999-01-08

S65 Uniform Investment Adviser Law Examination

1999-08-30
S63 Uniform Securities Agent State Law Examination

1999-01-08

View on SEC IAPD