Stephen Alan Martin

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

• 08/2015 → 05/2018
  Massachusetts Mutual Life Insurance Co
  Birmingham, AL
• 08/2015 → 04/2019
  Mml Investors Services, Llc
  Birmingham, AL
• 06/2019 → Present
  Cuna Mutual Group
  Waverly, IA
• 06/2019 → Present
  Cuna Brokerage Services, Inc.
  Waverly, IA
• 04/2019 → 06/2019
  Unemployed
  Birmingham, AL
• 05/2022 → Present
  Lpl Financial Llc
  Birmingham, AL

Previous Registrations

• 2019-06-21 → 2022-05-18
  Cuna Brokerage Services, Inc.
  Birmingham, AL
  Trussville, AL
  Birmingham, AL
• 2017-07-28 → 2019-04-16
  Mml Investors Services, Llc
  Birmingham, AL
• 2015-06-10 → 2015-08-06
  Valic Financial Advisors, Inc.
  Birmingham, AL
• 2014-03-04 → 2015-03-30
  Intl Advisory Consultants Inc.
  Birmingham, AL
• 2014-01-21 → 2014-02-21
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 2013-02-19 → 2014-01-21
  Cetera Investment Services Llc
  Hoover, AL
  Memphis, TN
• 2010-11-18 → 2013-02-20
  Waddell & Reed
  Memphis, TN

Other Businesses

1. 05-18-2022-APCO Investment Services- Investment Related- At Reported Business Location(s)- DBA for LPL Business (entity for LPL business)- 2) 01/27/2025 - Southern Energy Investment Services - Investment Related - At Reported Business Location(s) -DBA for LPL Business (entity for LPL business) - Start Date:02/01/2025 - 160 Hrs/Mth - 8 Hrs During Trading.

Exams

• S66 Uniform Combined State Law Examination
  2010-11-17

Other Names

• Steve Martin