Steven James Fischer

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
KS	RA	APPROVED	2018-07-16
TX	RA	APPROVED_RES	2013-02-06
CA	RA	APPROVED	2009-04-20

KS RA
APPROVED

Since 2018-07-16
TX RA
APPROVED_RES

Since 2013-02-06
CA RA
APPROVED

Since 2009-04-20

Branch Locations

2230 W Chapman Ave Ste 200, Orange, CA 92868-2316 • 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

Organization	City	State	From	To
Lpl Financial, Llc	Santa Ana	CA	04/2009	Present

04/2009 → Present

Lpl Financial, Llc

Santa Ana, CA

Previous Registrations

2008-01-01 → 2009-04-21

Wells Fargo Clearing Services, Llc

Irvine, CA
2007-03-05 → 2008-01-01

A. G. Edwards & Sons, Inc.

Irvine, CA

St. Louis, MO

Other Businesses

(1) 04/26/2016: Pretirement Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - 6 Hutton Centre Dr Suite 600, Santa Ana, CA 92707 - Start 04/19/2016 - 40 Hr/Mo; 40 Hour(s) During Securities Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-03-02

S66 Uniform Combined State Law Examination

2007-03-02

View on SEC IAPD

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

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