Stephen Shiao

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 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

• 02/2014 → 03/2021
  Lock America, Inc
  Corona, CA
• 03/2021 → 11/2022
  Tidyup Laundry
  Fullerton, CA
• 05/2022 → 07/2025
  New York Life Insurance Company
  Irvine, CA
• 12/2022 → 07/2025
  Nylife Securities Llc
  Irvine, CA
• 07/2025 → Present
  Lpl Enterprise Llc
  Irvine, CA

Other Businesses

1. 07/09/2025 - Insurance Broker - Non-Variable Insurance - Inv Related - Fullerton, CA - Start Date 01/12/2022 - 4hrs/MTH 1hr/MTH During Trading 2. 07/09/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Inv Related - Fullerton, CA - Start Date 07/08/2025 - 160hrs/MTH 160hrs/MTH During Trading 3. 07/09/2025 - N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Inv Related - Fullerton, CA - Start Date 07/08/2025 - 160hrs/MTH 160hrs/MTH During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2026-04-01
• S63 Uniform Securities Agent State Law Examination
  2023-04-02