Steven Bradshaw Nieves

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:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2023-10-27
DE	RA	APPROVED	2018-02-14
NJ	RA	APPROVED	2018-02-14
PA	RA	APPROVED	2018-02-14

MD RA
APPROVED

Since 2023-10-27
DE RA
APPROVED

Since 2018-02-14
NJ RA
APPROVED

Since 2018-02-14
PA RA
APPROVED

Since 2018-02-14

Branch Locations

Swedesboro, NJ • 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 Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Invest Financial Corp	Tampa	FL	02/2007	02/2018
Lpl Financial Llc	Woolwich	NJ	02/2018	Present

02/2007 → 02/2018

Invest Financial Corp

Tampa, FL
02/2018 → Present

Lpl Financial Llc

Woolwich, NJ

Previous Registrations

2007-04-05 → 2018-02-20

Invest Financial Corporation

Logan Twp, NJ

Bridgeton, NJ

Woodstown, NJ

Carney'S Point, NJ

Medford, NJ

Wilmington, DE

Salem, NJ

Woolwich, NJ

Appleton, WI

Other Businesses

1. 02/14/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA. 2. 04/22/2019 - THE PRIVATE CLIENT ADVOSRY GROUP - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:03/01/2018 - 120 hrs/mo - 120 hrs during trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-04-04
S63	Uniform Securities Agent State Law Examination	2004-08-19

S65 Uniform Investment Adviser Law Examination

2007-04-04
S63 Uniform Securities Agent State Law Examination

2004-08-19

Other Names

Steven Nieves

View on SEC IAPD