David Charles Steger

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

• 01/2015 → 03/2017
  Metlife Securities Inc.
  Chicago, IL
• 03/2017 → 03/2020
  Mml Investors Services, Llc
  Chicago, IL
• 07/2016 → 03/2020
  Massmutual Life Insurance Co
  Chicago, IL
• 03/2020 → Present
  Lpl Financial, Llc
  Chicago, IL

Previous Registrations

• 2017-03-25 → 2020-03-13
  Mml Investors Services, Llc
  Chicago, IL
  Chicago, IL
  Chicago, IL
• 2015-01-02 → 2017-03-25
  Msi Financial Services, Inc.
  Chicago, IL
  Chicago, IL
• 2012-04-20 → 2015-01-02
  New England Securities
  Chicago, IL
  Chicago, IL

Other Businesses

1. 3/11/2020 - The AdvisoryOne Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 07/01/2011 - Started 20% - Selling GROUP DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE, long term disability. 2. 7/7/2021 - The AdvisoryOne Group, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/11/2020 - 160 Hours Per Month During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2012-02-02

Designations

• Certified Financial Planner
• Chartered Financial Analyst

Other Names

• David C. Steger