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Steven T Looser

LPl Financial LLC

Davidson, NC

San Diego, CA

CRD 4551400

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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

AuthorityCategoryStatusDate
NC RA APPROVED 2020-02-03
CA RA APPROVED 2008-11-24
TX RA APPROVED 2008-11-24
  • NC RA
    APPROVED
    Since 2020-02-03
  • CA RA
    APPROVED
    Since 2008-11-24
  • TX RA
    APPROVED
    Since 2008-11-24

Branch Locations

Davidson, NC • United States

1761 Hotel Cir S Ste #106, San Diego, CA 92108 • 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
Lpl Financial San Diego CA 11/2008 Present
  • 11/2008 → Present
    Lpl Financial
    San Diego, CA
Previous Registrations
Other Businesses

1. 1/22/2010 - DBA for LPL Business (entity for LPL business) - THE LOOSER FINANCIAL GROUP - Investment Related - At Reported Business Location(s)

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-30
S63 Uniform Securities Agent State Law Examination 2002-08-22
  • S66 Uniform Combined State Law Examination
    2007-01-30
  • S63 Uniform Securities Agent State Law Examination
    2002-08-22

View on SEC IAPD

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