Stephanie Ann Warren

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

• 08/1992 → Present
  M&I Marshall & Ilsley Bank
  Sauk City, WI
• 03/2021 → Present
  Lpl Financial Llc
  Middleton, WI

Previous Registrations

• 2021-03-08 → 2021-03-24
  Bmo Harris Financial Advisors, Inc.
  Sauk City, WI
  Baraboo, WI
  Middleton, WI

Other Businesses

1) 03/24/2021 - DBA for LPL Business (entity for LPL business) - BMO Investment Services - Investment Related - MIDDLETON, WI

Exams

• S65 Uniform Investment Adviser Law Examination
  2021-03-03
• S63 Uniform Securities Agent State Law Examination
  2003-05-28

Other Names

• Stephanie Ann Noskowiak