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Stephen John Carew

LPl Financial LLC

Auburn, ME

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2026-08-12
  • ME RA
    APPROVED
    Since 2026-08-12

Branch Locations

195 Center Street, Auburn, ME 04210 • 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
Metlife Securities Inc. Portland ME 01/2015 02/2018
Massachusetts Mutual Life Insurance Company Springfield MA 07/2016 02/2018
Mml Investors Services, Llc Portland ME 03/2017 02/2018
Sagepoint Financial, Inc. Lewiston ME 02/2018 09/2023
Osaic Wealth, Inc. Auburn ME 09/2023 08/2026
Lpl Financial Auburn ME 08/2026 Present
  • 01/2015 → 02/2018
    Metlife Securities Inc.
    Portland, ME
  • 07/2016 → 02/2018
    Massachusetts Mutual Life Insurance Company
    Springfield, MA
  • 03/2017 → 02/2018
    Portland, ME
  • 02/2018 → 09/2023
    Sagepoint Financial, Inc.
    Lewiston, ME
  • 09/2023 → 08/2026
    Auburn, ME
  • 08/2026 → Present
    Lpl Financial
    Auburn, ME
Previous Registrations
  • 2023-09-01 → 2026-08-14
    Naples, FL
    Portland, ME
    Auburn, ME
  • 2018-02-23 → 2023-09-01
    Osaic Services, Inc.
    Auburn, ME
  • 2017-03-25 → 2018-02-26
    Lewiston, ME
    Portland, ME
  • 2015-01-02 → 2017-03-25
    Msi Financial Services, Inc.
    Lewiston, ME
    Portland, ME
  • 2000-10-25 → 2015-01-02
    New England Securities
    Portland, ME
    Portland, ME
    Auburn, ME
Other Businesses

1. 8/2026 - Varney Financial - DBA for LPL Business (entity for LPL business) - INV REL - 160 Hour(s)/Month – 160 Hour(s) During Trading - At Reported business location(s) - OBA Start date: 8/12/2026

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-09-11
S63 Uniform Securities Agent State Law Examination 1995-05-19
  • S65 Uniform Investment Adviser Law Examination
    2000-09-11
  • S63 Uniform Securities Agent State Law Examination
    1995-05-19
Other Names
  • Steve John Carew

View on SEC IAPD

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