Mark Alan Steen

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
PA	RA	APPROVED	2014-05-28

PA RA
APPROVED

Since 2014-05-28

Branch Locations

Hermitage, PA • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Lpl Financial, Llc	Hermitage	PA	05/2014	Present

05/2014 → Present

Lpl Financial, Llc

Hermitage, PA

Previous Registrations

2009-03-10 → 2014-06-16

Stifel, Nicolaus & Company, Incorporated

Boardman, OH
2008-03-28 → 2009-03-10

Butler, Wick & Co., Inc.

Youngstown, OH

Boardman, OH

Other Businesses

1. 05/27/2014 - COMPOUND TEAMWEAR/ OTHER/ 1%/ MCDONOUGH, GA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-03-21
S63	Uniform Securities Agent State Law Examination	1994-09-16

S65 Uniform Investment Adviser Law Examination

2008-03-21
S63 Uniform Securities Agent State Law Examination

1994-09-16

View on SEC IAPD