Stephen Michael Luna

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

• 06/2026 → Present
  Lpl Financial Llc
  Modesto, CA
• 02/2022 → 06/2026
  Mml Investors Services, Llc
  Modesto, CA
• 10/2021 → 06/2026
  Mass Mutual Insurance Company
  Modesto, CA
• 07/2021 → 06/2026
  Spectrum Financial Group
  Dallas, TX
• 01/2017 → 07/2021
  Chick-Fil-A
  Waco, TX
• 01/2015 → 01/2017
  Vans
  Cypress, CA

Previous Registrations

• 2022-11-30 → 2026-06-05
  Mml Investors Services, Llc
  Modesto, CA
  Waco, TX

Other Businesses

1. 5/2026 - Spectrum Wealth Strategies LLC - 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: 6/3/2026

Exams

• S66 Uniform Combined State Law Examination
  2022-11-05

Other Names

• Stephen Luna