Steven Schulte

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

• 10/2014 → 03/2020
  Ameriprise Financial Services, Inc.
  Yuma, AZ
• 03/2020 → 01/2025
  Ameriprise Financial Services, Llc
  Yuma, AZ
• 01/2025 → Present
  Lpl Financial Llc
  Yuma, AZ

Previous Registrations

• 2015-10-21 → 2025-01-31
  Ameriprise Financial Services, Llc
  Yuma, AZ
  Yuma, AZ
• 2010-03-19 → 2014-10-30
  Lpl Financial Llc
  Yuma, AZ
  Yuma, AZ
  Gilbert, AZ
• 2008-08-13 → 2010-03-22
  Zions Capital Advisors, Inc.
  Salt Lake City, UT
  Yuma, AZ

Other Businesses

1) 1/2025- Schulte Financial Services LLC- owner - Business Entity For Tax/Investment Purposes Only- non-inv. related - Yuma, AZ- start date 3/01/2010- 1hr per mth /0 during trading. 2) 1/2025- Southwest ATMs LLC - business co- owner- non-inv. related- Yuma, AZ - start date 10/29/2009- 4hrs per mth/ 0 during trading 3) 1/2025- Real Estate Rental - Managing member / co-owner - Inv. Related- San Diego, CA- start date 1/2022- 1hr per mth / 0 during trading 4) 1/2025- Steve Schulte LLC - owner - Business Entity For Tax/Investment Purposes Only- non-inv. related - Yuma, AZ- start date 3/01/2010- 1hr per mth /0 during trading. 5) 01/31/2025 - Southwest Advisory Group - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:01/01/2025 - 0 Hrs/Mth - 0 Hrs During Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-08-08
• S66 Uniform Combined State Law Examination
  2000-07-26

Designations

• Certified Financial Planner

Other Names

• Steven John Schulte