Steve Wesley Hose

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
WV	RA	APPROVED	2010-12-08

WV RA
APPROVED

Since 2010-12-08

Branch Locations

Martinsburg, WV • 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
The Hose Group	Martinsburg	WV	06/2010	Present
Lpl Financial	Martinsburg	WV	12/2010	Present

06/2010 → Present

The Hose Group

Martinsburg, WV
12/2010 → Present

Lpl Financial

Martinsburg, WV

Previous Registrations

2003-08-01 → 2010-12-08

M&T Securities, Inc.

Frederick, MD

Frederick, MD

Frederick, MD

Frederick, MD

Frederick, MD

Frederick, MD

Frederick, MD

Frederick, MD

Hagerstown, MD

Clear Spring, MD

Hagerstown, MD

Hancock, MD

Hagerstown, MD

Hagerstown, MD

Hagerstown, MD

Clear Spring, MD

Frederick, MD
1999-05-07 → 2003-06-25

Raymond James Financial Services, Inc.

Hagerstown, MD

Other Businesses

1. 12/06/10 - HOSE GROUP, INC./ DBA ONLY/ MARTINSBURG, WV 2. 12/15/2010 - DBA ONLY, STERLING FINANCIAL MANAGEMENT, INC. 3. 12/16/2010 - NON-VARIABLE INSURANCE, HOSE GROUP, INC, 15%.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-10-20
S63	Uniform Securities Agent State Law Examination	1993-07-20

S65 Uniform Investment Adviser Law Examination

1994-10-20
S63 Uniform Securities Agent State Law Examination

1993-07-20

View on SEC IAPD