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Steven Matthew Raymond

LPl Financial LLC

San Diego, CA

Rocklin, CA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-04-18
  • CA RA
    APPROVED
    Since 2023-04-18

Branch Locations

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Rocklin, CA • 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
OrganizationCityStateFromTo
Cambridge Investment Research, Inc. Fairfield IA 12/2013 12/2016
Cambridge Investment Research Advisors, Inc. Fairfield IA 12/2013 12/2016
Lpl Financial, Llc Rancho Cordova CA 12/2016 03/2023
Safe Credit Union Rancho Cordova CA 12/2016 03/2023
Lpl Financial Llc Rocklin CA 04/2023 Present
Previous Registrations
  • 2016-12-01 → 2023-03-28
    Lpl Financial Llc
    Rancho Cordova, CA
    Sacramento, CA
    Folsom, CA
    Sacramento, CA
    North Highlands, CA
    Folsom, CA
  • 2013-12-03 → 2016-12-01
    Cambridge Investment Research Advisors, Inc.
    Sacramento, CA
  • 2011-03-18 → 2013-12-12
    Navion Financial Advisors, Llc
    Davis, CA
  • 2010-12-13 → 2012-04-09
    Lpl Financial Llc
    Davis, CA
  • 2008-07-21 → 2010-12-20
    Ameritas Investment Company, Llc
    Gold River, CA
    Granite Bay, CA
    Folsom, CA
  • 2008-06-04 → 2008-07-01
    Osaic Services, Inc.
    Rocklin, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-04-29
S63 Uniform Securities Agent State Law Examination 2008-04-01
  • S65 Uniform Investment Adviser Law Examination
    2008-04-29
  • S63 Uniform Securities Agent State Law Examination
    2008-04-01
Designations
Other Names
  • Steve Mathew Raymond
  • Steve Raymond
  • Steve Matthew Raymond
  • Steve Matthew Raymond Cfp(R)

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

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