Steven R Frazier

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

• 01/2012 → 03/2018
  Stifel, Nicolaus & Company, Incorporated
  New London, CT
• 03/2018 → Present
  Lpl Financial Llc
  Wakefield, RI

Previous Registrations

• 2012-04-24 → 2018-04-05
  Stifel, Nicolaus & Company, Incorporated
  Mystic, CT

Other Businesses

1) 3/23/18- Frazier Investment Mangement- DBA for LPL Business (entity for LPL business)- Inv. Related- Wakefield, RI- 95% 2) 01/16/2024 - Outside/W-2 Employment - Model - Not Investment Related - Jamestown, RI - Start Date 07/19/2023 - 1 Hour Per Month/ 0 Hours During Trading

Exams

• S66 Uniform Combined State Law Examination
  2012-03-30