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Larissa Marie Steffes

LPl Financial LLC

Cottage Grove, WI

Madison, WI

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2021-03-24
  • WI RA
    APPROVED
    Since 2021-03-24

Branch Locations

Cottage Grove, WI • United States

One West Main Street, Madison, WI 53703 • 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
Bmo Harris Bank Madison WI 09/2015 10/2016
Bmo Harris Bank Madison WI 10/2016 11/2016
Bmo Harris Bank Madison WI 11/2016 08/2019
Bmo Harris Financial Advisors, Inc. Madison WI 08/2019 Present
Lpl Financial Llc Madison WI 03/2021 Present
  • 09/2015 → 10/2016
    Bmo Harris Bank
    Madison, WI
  • 10/2016 → 11/2016
    Bmo Harris Bank
    Madison, WI
  • 11/2016 → 08/2019
    Bmo Harris Bank
    Madison, WI
  • 08/2019 → Present
    Bmo Harris Financial Advisors, Inc.
    Madison, WI
  • 03/2021 → Present
    Lpl Financial Llc
    Madison, WI
Previous Registrations
  • 2020-02-06 → 2021-03-24
    Bmo Harris Financial Advisors, Inc.
    Madison, WI
Other Businesses

1) 03/24/2021 - DBA for LPL Business (entity for LPL business) - BMO Investment Services - Investment Related -

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-02-04
  • S66 Uniform Combined State Law Examination
    2020-02-04
Other Names
  • Larissa Marie Fraley

View on SEC IAPD

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