Stephen Kent Liles

Current Employers

Employment History

• 04/2016 → Present
  Lpl Financial, Llc
  Lake Charles, LA
• 04/2016 → Present
  Newedge Advisors, Llc (Gwm Advisors, Llc)
  Lake Charles, LA

Previous Registrations

• 2009-09-04 → 2016-04-28
  Transamerica Financial Advisors, Llc
  Lake Charles, LA
  Greenville, OH
  Pflugerville, TX
• 2008-03-06 → 2009-09-04
  Transamerica Financial Advisors, Inc.
  Lake Charles, LA
• 2007-09-21 → 2008-02-21
  Park Avenue Securities Llc
  Lake Charles, LA
  Metairie, LA

Other Businesses

1. 04/21/2016 - VINCENT LILES THOMPSON PRIVATE WEALTH MANAGEMENT/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 100%/ LAKE CHARLES, LA 2. 04/21/2016 - STEPHEN LILES ATTORNEY AT LAW/ LEGAL SERVICES/ 0%/ LAKE CHARLES, LA 3. 04/21/2016 - STEPHEN LILES/ NON-VARIABLE INSURANCE/ 5%/ LAKE CHARLES, LA 4. 04/21/2016 - LILES FINANCIAL LLC/ BUSINESS ENTITY FOR TAX, INVESTMENT PURPOSES ONLY/ 0%/ LAKE CHARLES, LA 5. 04/21/2016 * Coastal Land & Development LLC * Real Estate Rental * NOT INV REL * AT REPORTED BUSINESS LOCATION(S) * START 4/7/2016 * 1. sole owner 2. 2012 8th St Lake Charles LA 70601 and 4029 Briarwood Lake Charles LA 70601 * TIME SPENT 1% 6. 05/26/2016 * GWM ADVISORS, LLC * Registered Investment Advisor DBA * Vincent Liles Thompson Private Wealth Management * inv rel * 49665 Elliott Road, Lake Charles, LA 70605 * (Hybrid) IAR * start 4/7/2016 * time spent 100% 7. 3/6/2018 - Vincent Liles Thompson - DBA: (Hybrid) Goss Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 04/01/2016 - 0 Hours Per Month. 8. 11/8/2018 - Oak Grove Wealth Partners, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date:11/01/2018 - 10 Hours Per Month/0 Hours During Trading. 9. 11/14/2018 - GWM Advisors, LLC - DBA: (Hybrid) Oak Grove Wealth Partners, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date: 12/01/2018 - 10 Hours Per Month During Securities Trading. 10. 07/24/2019 - Coach Equity Partners, LLC - Not investment related - At reported business location(s) - Business Entity For Tax/Investment Purposes Only - start date:04/04/2019 - 0 hrs/mo - 0 hrs during trading. 11. 2/5/2020 - Rau Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/01/2020 - 0 Hours Per Month. 12. 2/9/2022 - NewEdge Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 4/7/2016 - Time Spent 100% - I provide investment advisory services through NewEdge Advisors, LLC, an independent investment advisor firm. I started this business activity in 4/2016. 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 services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 13. 03/16/2022 - Old River Equity, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date - 02/10/2022 - 0 Hours Per Month/0 Hours During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2011-03-10

Designations

Other Names

• Stephen K Liles