Steven John Potter

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
IL	RA	APPROVED	2022-01-20

IL RA
APPROVED

Since 2022-01-20

Branch Locations

2323 Naperville Road Ste 210-A, Naperville, IL 60563 • 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
Lpl Financial Llc	Naperville	IL	12/2010	Present
Level Four Advisory Services	Naperville	IL	01/2014	08/2021

12/2010 → Present

Lpl Financial Llc

Naperville, IL
01/2014 → 08/2021

Level Four Advisory Services

Naperville, IL

Previous Registrations

2014-01-27 → 2021-08-31

Level Four Advisory Services

Naperville, IL

Dallas, TX
2008-01-01 → 2010-12-06

Wells Fargo Clearing Services, Llc

Naperville, IL

Geneva, IL
2004-07-29 → 2008-01-01

A. G. Edwards & Sons, Inc.

Geneva, IL

St. Louis, MO

Geneva, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-07-28

S66 Uniform Combined State Law Examination

2004-07-28

View on SEC IAPD