Steven Leroy Douglass

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

• 08/2016 → Present
  National Bank Of Arizona (Zions Bank Affilate)
  Phoenix, AZ
• 11/2017 → Present
  Lpl Financial Llc
  Phoenix, AZ

Previous Registrations

• 2013-11-13 → 2016-08-10
  Bmo Harris Financial Advisors, Inc.
  Phoenix, AZ
  Phoenix, AZ

Other Businesses

1) 11/27/17- ROSE LINE INC- Parcel of land- Non-Inv. Related- Salome, AZ- Start date 1/1/2000- 1% 2) 11/27/17- Real Estate Rental- Owner - Phoenix, AZ - start date 1/1/2017- 1% 3) 11/27/2017 - National Bank of Arizona I Zions Bancorp - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Private Banker - Started 08/15/2016 - 60 Hours Per Month/12 Hours During Securities Trading - Time Spent 90%. 4) 4/29/2020 - NBAZ Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 04/01/2020 - 10 Hours Per Month During Securities Trading. 5) 11/21/2024 - Zions Insurance Agency - Property and Casualty - Agent - Investment Related - At Reported Business Location(s) - Start Date 11/01/2024 - 10 Hours Per Month/ 1 Hour During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-11-11
• S63 Uniform Securities Agent State Law Examination
  1997-04-04

Designations

• Certified Financial Planner