Stephen Michael Luna

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2026-06-04
TX	RA	APPROVED	2026-06-03

CA RA
APPROVED

Since 2026-06-04
TX RA
APPROVED

Since 2026-06-03

Branch Locations

Modesto, CA • United States

14180 North Dallas Pkwy Suite 425, Dallas, TX 75254 • 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
Lpl Financial Llc	Modesto	CA	06/2026	Present
Mml Investors Services, Llc	Modesto	CA	02/2022	06/2026
Mass Mutual Insurance Company	Modesto	CA	10/2021	06/2026
Spectrum Financial Group	Dallas	TX	07/2021	06/2026
Chick-Fil-A	Waco	TX	01/2017	07/2021
Vans	Cypress	CA	01/2015	01/2017

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

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-11-05

S66 Uniform Combined State Law Examination

2022-11-05

Other Names

Stephen Luna

View on SEC IAPD