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Steven Sunyuk Lew

LPl Financial LLC

Huntington Beach, CA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-06-18
TX RA APPROVED_RES 2019-06-18
  • CA RA
    APPROVED
    Since 2019-06-18
  • TX RA
    APPROVED_RES
    Since 2019-06-18

Branch Locations

15061 Springdale St Ste 102, Huntington Beach, CA 92649 • 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
OrganizationCityStateFromTo
Western International Securities, Inc. Pasadena CA 04/2016 06/2019
Lpl Financial, Llc Huntington Beach CA 06/2019 Present
  • 04/2016 → 06/2019
    Western International Securities, Inc.
    Pasadena, CA
  • 06/2019 → Present
    Lpl Financial, Llc
    Huntington Beach, CA
Previous Registrations
  • 2016-04-14 → 2019-06-18
    Western International Securities, Inc.
    Huntington Beach, CA
    Newport Beach, CA
  • 2013-11-25 → 2016-04-04
    D.A. Davidson & Co.
    Long Beach, CA
  • 2013-11-04 → 2013-11-25
    Crowell Weedon & Co.
    Long Beach, CA
  • 2009-04-28 → 2013-11-04
    Crowell, Weedon & Co.
    Long Beach, CA
  • 1997-07-08 → 2009-05-13
    Ubs Financial Services Inc.
    Long Beach, CA
    Seal Beach, CA
Other Businesses

1. 03/01/1999 - STEVEN LEW/ NON-VARIABLE INSURANCE/ INVESTMENT RELATED/ 0%/ HUNTINGTON BEACH, CA

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-11-22
  • S63 Uniform Securities Agent State Law Examination
    1995-11-22
Other Names
  • Steve Lew

View on SEC IAPD

Other Firms

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CETERA INVESTMENT ADVISERS LLC
SIMPLICITY WEALTH
WELLS FARGO CLEARING SERVICES, LLC
AE WEALTH MANAGEMENT, LLC
INTEGRATED WEALTH CONCEPTS LLC
THRIVENT INVESTMENT MANAGEMENT INC.
YOUR PRIVATE CLIENT GROUP, INC.

Other Investors

Michael Steven Conway
CRAIG ALLEN DAVIS
Anthony Labarba
Anthony McGee
John Elliott
TOM TOSHIYUKI TERAOKA
KENNETH KENJI TANAKA
Douglas Scott Gahn

Other Offices

LPL FINANCIAL LLC · HUNTINGTON BEACH, CA
J.P. MORGAN SECURITIES LLC · HUNTINGTON BEACH, CA
CETERA INVESTMENT ADVISERS LLC · HUNTINGTON BEACH, CA
SIMPLICITY WEALTH · Huntington Beach, CA
WELLS FARGO CLEARING SERVICES, LLC · HUNTINGTON BEACH, CA
AE WEALTH MANAGEMENT, LLC · HUNTINGTON BEACH, CA
INTEGRATED WEALTH CONCEPTS LLC · HUNTINGTON BEACH, CA
THRIVENT INVESTMENT MANAGEMENT INC. · HUNTINGTON BEACH, CA

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