Mitchell David Stevens

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

• 07/1988 → 05/2019
  Primerica Financial Services
  Frisco, TX
• 05/1992 → 05/2019
  Pfs Investments Inc.
  Frisco, TX
• 05/2019 → Present
  Lpl Financial, Llc
  Dallas, TX

Previous Registrations

• 2016-05-03 → 2019-06-07
  Pfs Investments Inc.
  Dallas, TX
  Dallas, TX
  Plano, TX

Other Businesses

1. 10/17/2022 - Nexpoint - Investment Related - At Reported Business Location(s) - At Reported Business Location(s) - Non-Variable Insurance - Insurance Agent - Start Date - 10/11/2022 - 1 Hours Per Month/0 Hours During Securities Trading 2. 10/02/2023 - Sovereign Private Wealth Strategies - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 10/01/2023 - 160 Hours Per Month/ 20 Hours During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-04-20
• S63 Uniform Securities Agent State Law Examination
  1992-08-03

Other Names

• Mitch Stevens