Steven Charles Small

Current Employers

Employment History

• 02/2003 → Present
  Lpl Financial Llc
  Napoleon, OH
• 07/2017 → 09/2018
  Independent Financial Partners
  Napolean, OH
• 09/2018 → Present
  Independent Advisor Alliance
  Napoleon, OH

Previous Registrations

• 2017-07-26 → 2018-09-17
  Independent Financial Partners
  Napoleon, OH

Other Businesses

1. 02/06/2003 - NO BUSINESS NAME - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - NORTHWEST CAPITAL FINANCIAL GROUP - INV REL - AT REPORTED BUSINESS LOCATION - DBA ONLY 2. 10/07/2003 - NO BUSINESS NAME - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION - SELLING FIXED ANNUITIES, TERM AND UNIVERSAL LIFE INSURANCE THROUGH GLEANER LIFE INSURANCE SOCIETY 3. 09/11/2006 - NO BUSINESS NAME - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION - Offer term life, universal life and fixed annuities through regional insurance carrier, Cincinnati Life Insurance Company. - 5% TIME SPENT 4. 04/21/2015 - STEVE SMALL PROPERTIES, LLC - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - INV REL - START 04/15/2015 - 1036 Chelsea Ave., Napoleon, OH 43545 - Rental income; LLC setup by my wife and I solely to own the office building in which our practice does business - 0 HR/MO - Steve Small Properties, LLC 5. 12/18/2015 - LTCi Partners - Non-Variable Insurance - INV REL - START 12/18/2015 - 1036 Chelsea Ave., Napoleon, OH 43545 - Financial Consultant; using services of LTCi Partners per national agreement with LPL - 2 HR/MO DURING SECS TRDG - Non-Variable Insurance - LTCi Partners 6. 06/17/2016 - Wholehan Marketing - Non-Variable Insurance - INV REL - START 05/23/2016 - 1036 Chelsea Ave., Napoleon, OH 43545 - AGENT - 1 HR/MO DURING SECS TRDG - non-variable insurance 7. 7/11/2018 - Northwest Capital Financial Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 07/03/2018 - 120 Hours Per Month During Securities Trading. 8. 9/17/2018 - Independent Advisor Alliance - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 09/15/2018 - 120 Hours Per Month/5 Hours During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity on 9/17/2018. I expect to spend approximately 120 hours/month on this activity. Please see the advisory firms Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 9. 06/26/2024 - Claridence Wealth - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 6/26/2024 - 173 Hrs/Mo During Trading. 10. 08/14/2024 - Claridence Wealth - Registered Investment Advisor DBA - IAR - Investment Related - At Reported Business Location(s) - Start Date 06/26/2024 - 173 Hours Per Month/ During Trading - I provide investment advisory services through Independent Advisor Alliance, an independent investment advisor firm. I started this business activity in 8/2024. I expect to spend approximately 173 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-12-09
• S63 Uniform Securities Agent State Law Examination
  1992-07-07

Other Names

• Steve Small