Stephen Mark Seewer

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

• 09/2009 → 03/2022
  Cuso Financial Services, Lp
  San Diego, CA
• 03/2022 → Present
  Lpl Financial Llc
  South San Francisco, CA
• 03/2022 → Present
  Alliant Credit Union
  South San Francisco, CA

Previous Registrations

• 2009-09-10 → 2022-03-14
  Cuso Financial Services, L.P.
  San Diego, CA
  San Francisco, CA
  San Francisco, CA
  San Francisco, CA
• 2005-01-05 → 2009-09-14
  Wells Fargo Investments, Llc
  Millbrae, CA
  San Francisco, CA
  Millbrae, CA
• 2004-01-29 → 2005-01-03
  Citicorp Investment Services
  Walnut Creek, CA

Other Businesses

1.02/20/2026; Investment products and services are offered through LPL Financial LLC using the DBA/trade name Initial Point Advisors; Investment Related; at Reported Business Location(s); Start Date 02/17/2026; 160hrs/mth; 130hrs during trading

Exams

• S66 Uniform Combined State Law Examination
  2004-01-28
• S65 Uniform Investment Adviser Law Examination
  1998-04-07
• S63 Uniform Securities Agent State Law Examination
  1991-07-03