Thomas Winfield Steele

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

• 01/2008 → Present
  Steele Financial Services, Llc
  Lake Preston, SD
• 11/2014 → 03/2020
  Securities America Inc
  Lake Preston, SD
• 11/2014 → 03/2020
  Securities America Advisors
  Lake Preston, SD
• 03/2020 → Present
  Lpl Financial Llc
  Lake Preston, SD

Previous Registrations

• 2014-11-19 → 2020-03-05
  Securities America Advisors, Inc.
  Lake Preston, SD
• 2013-10-04 → 2014-11-17
  Vicus Capital, Inc.
  Lake Preston, SD
• 2010-04-06 → 2013-09-24
  Vicus Capital, Inc.
  Chesterfield, VA
  Chesterfield, VA
• 2006-02-14 → 2010-03-19
  Cl Wealth Management Llc
  Schaumburg, IL
• 1999-05-20 → 2004-02-17
  Advantage Capital Corporation
  Petersburg, VA

Other Businesses

1.03/05/2020; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Steele Financial Services, LLC; Investment Related; at Reported Business Location(s); Start Date 03/05/2020; hrs/mth; hrs during trading 2.03/05/2020; Steele Financial Services, LLC; Non-Variable Insurance; Investment Related; at Reported Business Location(s); Start Date 03/05/2020; 100hrs/mth; 80hrs during trading 3.03/05/2020; Steele Dakota Farms, LLC; Other; Investment Related; at Reported Business Location(s); Start Date 04/01/2009; 20hrs/mth; hrs during trading 4.03/05/2020; S&S LLC; Business Entity For Tax/Investment Purposes Only; Not Investment Related; at Reported Business Location(s); Start Date 05/13/2014; hrs/mth; hrs during trading 5.08/25/2026; Borden Hamman; Non-Variable Insurance; Investment Related; at Reported Business Location(s); Start Date 08/01/2025; 1hrs/mth; 1hrs during trading

Exams

• S66 Uniform Combined State Law Examination
  1998-10-24

Other Names

• Tom Steele