Steven T Ries

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

• 08/2012 → 06/2024
  Janney Montgomery Scott, Llc
  Mt. Laurel, NJ
• 06/2024 → Present
  Lpl Financial Llc
  Voorhees, NJ

Previous Registrations

• 2012-08-16 → 2024-07-02
  Janney Montgomery Scott Llc
  Mt. Laurel, NJ
• 2007-06-27 → 2012-08-24
  Ubs Financial Services Inc.
  Mt. Laurel, NJ

Other Businesses

1- 06/2024 / SGI Wealth Management, LLC / DBA for LPL Business (entity for LPL business) / Investment Related/ At Reported Business Location(s) 2- 07/02/2024 - Private Advisor Group, LLC - Registered Investment Advisor - Investment Related - At Reported Business Location(s) - Start Date 07/19/2024 - 180 Hours Per Month/ 6 Hours During Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 7/2024. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3- 07/02/2024 - SGI WEALTH MANAGEMENT, LLC - Registered Investment Advisor DBA - Advisor - Investment Related - At Reported Business Location(s) - Start Date 06/18/2024 - 180 Hours Per Month - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 7/2024. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams

• S66 Uniform Combined State Law Examination
  2007-06-26

Designations

• Certified Financial Planner

Other Names

• Steven Ries