Stephen Griffin Wang

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

Authority	Category	Status	Date
NC	RA	APPROVED	2024-07-25
TX	RA	APPROVED	2024-07-25

NC RA
APPROVED

Since 2024-07-25
TX RA
APPROVED

Since 2024-07-25

Branch Locations

Huntersville, NC • 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

Organization	City	State	From	To
Wells Fargo Advisors, Llc	Charlotte	NC	02/2014	11/2016
Wells Fargo Clearing Services, Llc	Charlotte	NC	11/2016	07/2024
Lpl Financial	Huntersville	NC	07/2024	Present

02/2014 → 11/2016

Wells Fargo Advisors, Llc

Charlotte, NC
11/2016 → 07/2024

Wells Fargo Clearing Services, Llc

Charlotte, NC
07/2024 → Present

Lpl Financial

Huntersville, NC

Previous Registrations

2014-06-19 → 2024-08-01

Wells Fargo Clearing Services, Llc

Charlotte, NC

Charlotte, NC

St. Louis, MO

Huntersville, NC

St. Louis, MO

Charlotte, NC

Other Businesses

1- 07/2024 / Without Limit Inc. / Business Owner / Non Inv Related / 15 hrs mnth / start 01/23/2017 2- 07/2024 / True Crown Financial Inc / DBA for LPL Business (entity for LPL business) / Inv Related / 130 hrs mnth / 7 hrs during trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-06-19

S66 Uniform Combined State Law Examination

2014-06-19

Other Names

Stephen Wang

View on SEC IAPD