Stephen Takashi Sugai

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
HI	RA	APPROVED	2024-05-16
TX	RA	APPROVED_RES	2024-05-16

HI RA
APPROVED

Since 2024-05-16
TX RA
APPROVED_RES

Since 2024-05-16

Branch Locations

Waialua, HI • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lincoln Financial Securities Corporation	Waialua	HI	07/2008	05/2024
Lpl Financial Llc	Waialua	HI	05/2024	Present

07/2008 → 05/2024

Lincoln Financial Securities Corporation

Waialua, HI
05/2024 → Present

Lpl Financial Llc

Waialua, HI

Previous Registrations

2004-08-06 → 2024-05-21

Osaic Fs, Inc.

Waialua, HI
2000-11-21 → 2004-06-11

Signator Investors, Inc.

Honolulu, HI

Other Businesses

1) 04/03/2024 - The Advisers Group - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 1 Hour per month.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-08-20
S63	Uniform Securities Agent State Law Examination	1985-10-05

S65 Uniform Investment Adviser Law Examination

1997-08-20
S63 Uniform Securities Agent State Law Examination

1985-10-05

Designations

Chartered Financial Consultant

Other Names

Steve Sugai

View on SEC IAPD