Stephen Evans Davis

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	2017-11-08
MA	RA	APPROVED	2006-01-12

TX RA
APPROVED_RES

Since 2017-11-08
MA RA
APPROVED

Since 2006-01-12

Branch Locations

Mansfield, MA • United States

313 East Broad, Richmond, VA 23219 • 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
Linsco/Private Ledger Corp.	Mansfield	MA	08/1992	Present

08/1992 → Present

Linsco/Private Ledger Corp.

Mansfield, MA

Other Businesses

1. 8/19/1992 - NON-VARIABLE INSURANCE DBA - ROBERT W. DAVIS INSURANCE AGENCY, INC. - INSURANCE SALES. - MANSFIELD, MA. 2. 9/17/2004 - DBA ONLY - DAVIS FINANCIAL - MANSFIELD, MA. 3. 9/17/2004 - DBA ONLY - CONWAY & DAVIS - MANSFIELD, MA

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1992-11-03

S63 Uniform Securities Agent State Law Examination

1992-11-03

View on SEC IAPD