Steven Richard Elder

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
WA	RA	APPROVED	2022-12-07

WA RA
APPROVED

Since 2022-12-07

Branch Locations

Centralia, WA • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

506 2Nd Street, Suite 1400, Seattle, WA 98104 • United States

450 Alaskan Way S Ste 200, Seattle, WA 98104 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Thornburg Securities Corp	Santa Fe	NM	03/2015	01/2021
B.B. Graham & Company, Inc.	Issaquah	WA	03/2021	07/2021
B.B. Graham & Co., Inc.	Seattle	WA	08/2021	12/2022
Lpl Financial	Seattle	WA	12/2022	Present

03/2015 → 01/2021

Thornburg Securities Corp

Santa Fe, NM
03/2021 → 07/2021

B.B. Graham & Company, Inc.

Issaquah, WA
08/2021 → 12/2022

B.B. Graham & Co., Inc.

Seattle, WA
12/2022 → Present

Lpl Financial

Seattle, WA

Previous Registrations

2021-03-22 → 2022-12-16

B.B. Graham & Company, Inc.

Orange, CA

Seattle, WA

Orange, CA
2015-12-22 → 2021-01-06

Thornburg Investment Management Inc

Milton, WA

Santa Fe, NM

Other Businesses

1) 01/13/2023 - Fox and Bull Wealth Strategies - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 3/22/2021 - 50 Hours Per Month/7 Hours During Securities Trading - Time Spent 90%

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2015-12-21
S63	Uniform Securities Agent State Law Examination	1992-04-03

S65 Uniform Investment Adviser Law Examination

2015-12-21
S63 Uniform Securities Agent State Law Examination

1992-04-03

View on SEC IAPD