Steven Holman King

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:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-08-10
CA	RA	APPROVED	2003-08-29

TX RA
APPROVED_RES

Since 2020-08-10
CA RA
APPROVED

Since 2003-08-29

Branch Locations

Cardiff By The Sea, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial, Llc	Cardiff By The Sea	CA	08/2003	Present

08/2003 → Present

Lpl Financial, Llc

Cardiff By The Sea, CA

Previous Registrations

2003-05-12 → 2003-09-11

Wells Fargo Clearing Services, Llc

Carlsbad, CA

Other Businesses

1. 7/24/2014: DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - CARDIFF REEF WEALTH MANAGEMENT, INC. - STARTED 08/12/2013 - INVESTMENT RELATED - 160 HOURS PER MONTH DURING TRADING - 224 BIRMINGHAM DRIVE, STE 1A-3, CARDIFF BY THE SEA, CA 92007. 2. 8/14/2020 - Steve Lewandowski - Investment Related - 1442 Camino Del Mar #207, Del Mar, CA 92014 - Non-Variable Insurance - Started 08/01/2020 - 1 Hour Per Month During Securities Trading - Make an introduction to Steve Lewandowski Insurance Services (Independent Agent) to clients & prospects as he will work to resolve all non-variable insurance needs.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-07-31
S63	Uniform Securities Agent State Law Examination	1991-01-16

S66 Uniform Combined State Law Examination

2003-07-31
S63 Uniform Securities Agent State Law Examination

1991-01-16

Other Names

Steven H King

View on SEC IAPD