Steven Banta Ulrichs

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

• 06/2025 → 07/2025
  Whit's Frozen Custard
  Melbourne, FL
• 08/2024 → 05/2025
  Florida Insitute Of Technology
  Melbourne, FL
• 06/2024 → 07/2024
  Enterprise
  Richmond, VA
• 08/2023 → 05/2024
  University Of Lynchburg
  Lynchburg, VA
• 06/2023 → 07/2023
  Chick-Fil-A
  Lynchburg, VA
• 08/2021 → 05/2023
  University Of Lynchburg
  Lynchburg, VA
• 06/2021 → 07/2021
  Jersey Mike's
  Richmond, VA
• 09/2016 → 05/2021
  Douglas Freeman High School
  Richmond, VA
• 08/2025 → Present
  Viera East Golf Course
  Melbourne, FL
• 04/2025 → Present
  Lpl Financial
  Melbourne, FL
• 04/2025 → 10/2025
  Api Financial Management
  Melbourne, FL

Other Businesses

1) 10/07/2025 - Steve Ulrichs / Non-Variable Insurance / Inv Related / Harbour Beach, FL 32937 / Start date 08/01/2025 - 4 hrs per month - 5% time spent 2) 10/07/2025 - Viera East Golf Course / Outside/W-2 Employment / Not investment related / Viera, FL 32955 / Start Date 08/17/2025 / 28 Hrs per month - 1% time spent / Cart Barn attendant 3) 10/07/2025 - API Financial Management / DBA for LPL Business (entity for LPL business) Inv Related / At reported business location (s) Start date: 09/18/2025 - 160 hrs per month 8hrs during Trading- 100% time spent

Exams

• S66 Uniform Combined State Law Examination
  2025-11-22

Other Names

• Steve Ulrichs