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Stephen David Watts

LPl Financial LLC

Apple Valley, CA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-03-07
CA RA APPROVED 2007-01-04
  • TX RA
    APPROVED_RES
    Since 2024-03-07
  • CA RA
    APPROVED
    Since 2007-01-04

Branch Locations

Apple Valley, CA • 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
Linsco/ Private Ledger Corp Apple Valley CA 01/2007 Present
  • 01/2007 → Present
    Linsco/ Private Ledger Corp
    Apple Valley, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-07-12
S63 Uniform Securities Agent State Law Examination 1997-10-03
  • S66 Uniform Combined State Law Examination
    2002-07-12
  • S63 Uniform Securities Agent State Law Examination
    1997-10-03
Other Names
  • Steve Watts

View on SEC IAPD

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