Steven Frederick Rau

Current Employers

Employment History

• 09/2009 → Present
  Lpl Financial Llc
  Sacramento, CA
• 09/2009 → 07/2026
  Strategic Wealth Advisors Group
  Sacramento, CA
• 06/2026 → Present
  Private Advisor Group, Llc
  Morristown, NJ

Previous Registrations

• 2016-07-08 → 2026-06-26
  Mariner Advisor Network
  Sacramento, CA
  Rocklin, CA
• 2009-12-11 → 2016-07-08
  Strategic Wealth Advisors Group
  Rocklin, CA
• 2006-01-03 → 2010-01-11
  Barclay West Financial Advisors
  Roseville, CA
• 2003-10-14 → 2005-12-31
  Barclay West Financial Advisors
  Roseville, CA
• 1997-12-31 → 2003-08-05
  Lpl Financial Llc
  Rocklin, CA

Other Businesses

1. 9/16/2009 - RAU FINANCIAL STRATEGIES - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 2/14/2011 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 10% - Life health agent licensed in the state of CA. 3. 3/21/2011 - Strategic Wealth Advisor Group - DBA: Rau Financial Strategies - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Time Spent 50% - (Hybrid) Provide financial planning and asset management for a fee. 4. 11/20/2019 - RFS Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/15/2019 - 10 Hours Per Month/0 Hours During Securities Trading. 5. 04/25/2023 - No Business Name - Investment Related - Loomis, CA 95650 - Real Estate Rental - Start Date 03/01/2021 - 1 Hours Per Month/0 Hours During Securities Trading 6. 06/29/2026 - Private Advisor Group - Registered Investment Advisor Hybrid - Investment Related - At Reported Business Location(s) - 160 hours per month/ 120 hours during trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 6/2026. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-10-03
• S63 Uniform Securities Agent State Law Examination
  1993-09-13