Steven E Bernstein

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

• 09/2013 → 02/2018
  Jp Morgan Securities Llc
  Beverly Hills, CA
• 02/2018 → Present
  Lpl Financial, Llc
  Los Angeles, CA

Previous Registrations

• 2013-10-02 → 2018-03-08
  J.P. Morgan Securities Llc
  Santa Monica, CA
  Los Angeles, CA
  Beverly Hills, CA
  Los Angeles, CA
  Los Angeles, CA
• 2011-07-18 → 2013-10-02
  Msi Financial Services, Inc.
  Glendale, CA
  Los Angeles, CA

Other Businesses

1. 2/28/2018 - No Business Name - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Agent - Start Date 03/01/2018 - 2 Hours Per Month/0 Hours During Securities Trading - Time Spent 5% - Life, health, and fixed annuities. 2. 3/29/2018 - Stonewater Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/19/2018 - 170 Hours Per Month/5 Hours During Securities Trading. 3. 01/04/2022 - Laser Focus 18 - Not Investment Related - Family Business - Co-Owner - Start Date: 01/01/2022 - 5 Hours Per Month/0 Hours During Securities Trading - 25% ownership of an etching company. 4) 07/02/2025 - S & B Tala Properties LLC - Investment Related - Real Estate Rental - Panorama City, CA - Start Date:07/31/2025 - 1 Hrs/Mth - 0 Hrs During Trading.

Exams

• S66 Uniform Combined State Law Examination
  2011-06-27
• S63 Uniform Securities Agent State Law Examination
  2007-09-07

Other Names

• Steven Eric Bernstein