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Steven Jacob Rubin

LPl Financial LLC

Winston Salem, NC

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-09-28
NC RA APPROVED 2019-10-21
  • TX RA
    APPROVED
    Since 2023-09-28
  • NC RA
    APPROVED
    Since 2019-10-21

Branch Locations

1404 Plaza West Rd, Winston Salem, NC 27103 • 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
Hege Financial Group Winston-Salem NC 05/2016 09/2019
Lincoln Financial Securities Corporation Winston-Salem NC 05/2016 09/2019
Lpl Financial Llc Winston-Salem NC 09/2019 Present
  • 05/2016 → 09/2019
    Hege Financial Group
    Winston-Salem, NC
  • 05/2016 → 09/2019
    Lincoln Financial Securities Corporation
    Winston-Salem, NC
  • 09/2019 → Present
    Lpl Financial Llc
    Winston-Salem, NC
Previous Registrations
  • 2016-07-27 → 2019-10-22
    Osaic Fs, Inc.
    Winston-Salem, NC
Other Businesses

1)09/17/2019 - Hege Financial Group - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 05/2016 2)3/24/2023 - Hege Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 02/13/2023 - 160 Hours Per Month/160 Hours During Securities Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-07-21
  • S66 Uniform Combined State Law Examination
    2016-07-21
Designations

View on SEC IAPD

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Other Investors

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Other Offices

WELLS FARGO CLEARING SERVICES, LLC · WINSTON SALEM, NC
LPL FINANCIAL LLC · WINSTON SALEM, NC
EDWARD JONES · WINSTON SALEM, NC
EDWARD JONES · WINSTON-SALEM, NC
AMERIPRISE FINANCIAL SERVICES, LLC · WINSTON-SALEM, NC
TIMONIER · WINSTON SALEM, NC
APOLLON WEALTH MANAGEMENT, LLC · Winston-Salem, NC
KESTRA ADVISORY SERVICES, LLC · Winston Salem, NC

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