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Steve John Warriner

LPl Financial LLC

Santa Paula, CA

CRD 2708042

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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

AuthorityCategoryStatusDate
CA RA APPROVED 2003-11-20
  • CA RA
    APPROVED
    Since 2003-11-20

Branch Locations

Santa Paula, CA • 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
Linsco/Private Ledger Corp Westlake Village CA 04/2003 Present
  • 04/2003 → Present
    Linsco/Private Ledger Corp
    Westlake Village, CA
Other Businesses

1. 06/25/2003 - OUTSIDE SALES OF NON-VARIABLE INSURANCE 2. 11/22/06 - WARRINER FINANCIAL SERVICES/DBA/WESTLAKE VILLAGE CA

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-03-22
  • S63 Uniform Securities Agent State Law Examination
    1996-03-22

View on SEC IAPD

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