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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2024-01-09
  • MD RA
    APPROVED
    Since 2024-01-09

Branch Locations

971 Corporate Blvd, Linthicum, MD 21090 • United States

8737 Colesville Rd, Silver Spring, MD 20910 • United States

10801 Red Run Blvd, Owings Mills, MD 21117 • United States

7173 Security Boulevard, Baltimore, MD 21244 • United States

33 E Padonia Road, Timonium, MD 21093 • United States

16707 Crabbs Branch Way, Derwood, MD 20855 • United States

8603 La Salle Rd, Towson, MD 21286 • 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co., Inc. Gaithersburg MD 04/2016 11/2017
Charles Schwab Bank Gaithersburg MD 04/2016 11/2017
Lpl Financial Llc Middletown MD 11/2017 06/2018
Good Life Advisors, Llc Middletown MD 11/2017 06/2018
On The Border Towson MD 06/2018 Present
State Employees Credit Union Of Maryland Towson MD 11/2019 12/2020
Lpl Financial Llc Towson MD 04/2020 12/2020
State Employee Cr Union Of Md Linthicum MD 12/2020 Present
  • 04/2016 → 11/2017
    Gaithersburg, MD
  • 04/2016 → 11/2017
    Charles Schwab Bank
    Gaithersburg, MD
  • 11/2017 → 06/2018
    Middletown, MD
  • 11/2017 → 06/2018
    Middletown, MD
  • 06/2018 → Present
    On The Border
    Towson, MD
  • 11/2019 → 12/2020
    State Employees Credit Union Of Maryland
    Towson, MD
  • 04/2020 → 12/2020
    Towson, MD
  • 12/2020 → Present
    State Employee Cr Union Of Md
    Linthicum, MD
Previous Registrations
Other Businesses

1)03/20/2020 - State Employees Credit Union Maryland - Financial Institution Duty - inv rel - at reported business location(s) 2) 5/13/2020 - SECU Financial Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 05/11/2020 - 40 Hours Per Month/8 Hours During Securities Trading. 3)06/01/2022 - Atlas Restaurant Group - Not Investment Related - 10501 Falls Rd Lutherville-Timonium MD 21093 - Server/ Bartender - Start Date - 06/10/2022 - 50 Hours Per Month/ 0 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-09-07
S63 Uniform Securities Agent State Law Examination 2007-02-16
  • S66 Uniform Combined State Law Examination
    2007-09-07
  • S63 Uniform Securities Agent State Law Examination
    2007-02-16
Other Names
  • Stephen James Rafter

View on SEC IAPD

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