Stephen J Carson

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2017 → 01/2018
  Otcex
  New York, NY
• 01/2018 → 08/2018
  Lps Capital Llc
  New York, NY
• 09/2014 → 09/2017
  Carson Investors
  Baldwin, NY
• 08/2018 → 02/2020
  Etradinghq Llc
  New York, NY
• 03/2020 → 07/2020
  Unenployed
  Wantagh, NY
• 07/2020 → 08/2021
  National Life Ins Co
  Red Bank, NJ
• 07/2020 → 08/2021
  Equity Services, Inc.
  Montpelier, VT
• 08/2021 → Present
  Lpl Financial Llc
  Wantagh, NY

Previous Registrations

• 2021-04-27 → 2021-08-26
  Equity Services, Inc.
  Red Bank, NJ
  Melville, NY
  New York, NY

Other Businesses

1)08/12/2021 - Owner of non-developed land - Non-Inv Rel - Townsend, GA 2)08/12/2021 - Carson Investors - Real Estate Rental - Inv Rel - Baldwin, NY 3)1/6/2022 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - General Insurance Agent - Start Date 1/17/2022 - 10 Hours Per Month/1 Hours During Securities Trading - Crump Insurance. 4) 01/17/2024 - Bourbon and Branch - Non-Inv Related - New York, NY - Other - Business Owner - Silent Partner - Started: 10/11/2023 - 0 Hrs/Mo. 5) 12/18/2024 - Alessa NYC - Non-Investment Related - Rep's Business - New York, NY - Start date: 10/15/2024 - 0 Hrs/Mth - 0 Hrs During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2021-03-25
• S63 Uniform Securities Agent State Law Examination
  2020-08-10

Other Names

• Stephen James Carson
• Stephen J Carson
• Stephen Carson