Steven John Kesses

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

• 02/2007 → 11/2017
  National Planning Corporation
  Glastonbury, CT
• 11/2017 → Present
  Lpl Financial Llc
  Woodbridge, CT

Previous Registrations

• 2007-03-07 → 2017-12-07
  National Planning Corporation
  Glastonbury, CT
  Woodbridge, CT
  Los Angeles, CA
• 2007-02-05 → 2007-03-02
  First Allied Securities, Inc.
  San Diego, CA
  Woodbridge, CT
• 2003-09-16 → 2007-01-09
  Raymond James Financial Services, Inc.
  Westport, CT
  Monroe, CT
• 1992-04-06 → 2003-01-30
  Ubs Financial Services Inc.
  Westport, CT

Other Businesses

1. 11/29/2017 - GATEWAY FINANCIAL GROUP - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 08/14/2019 - Gateway Financial Partners - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:01/01/2007 - 150 hrs/mo - 150 hrs during trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  1993-04-07
• S63 Uniform Securities Agent State Law Examination
  1992-05-08