Steven Roth Becker

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
TX	RA	APPROVED_RES	2025-02-06
CA	RA	APPROVED	2025-01-23
IL	RA	APPROVED	2025-01-23

TX RA
APPROVED_RES

Since 2025-02-06
CA RA
APPROVED

Since 2025-01-23
IL RA
APPROVED

Since 2025-01-23

Branch Locations

Glen Ellyn, IL • United States

231 S La Salle St # 13 13Th Floor, Chicago, IL 60604 • 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
Wayne Hummer Investments L.L.C.	Chicago	IL	06/1975	01/2025
Wayne Hummer Management Co.	Chicago	IL	11/1981	01/2025
Lpl Financial Llc	Chicago	IL	01/2025	Present

06/1975 → 01/2025

Wayne Hummer Investments L.L.C.

Chicago, IL
11/1981 → 01/2025

Wayne Hummer Management Co.

Chicago, IL
01/2025 → Present

Lpl Financial Llc

Chicago, IL

Previous Registrations

2013-03-25 → 2025-01-23

Wintrust Investments Llc

Chicago, IL

Chicago, IL

Pentwater, MI

Tequesta, FL

Glen Ellyn, IL

Other Businesses

1- 01/2025- Wintrust- DBA for LPL Business (entity for LPL business)- Investment Related - At Reported Business Location(s) - Start Date 06/30/1975- 160 hours per month/ during trading

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1982-07-15

S63 Uniform Securities Agent State Law Examination

1982-07-15

View on SEC IAPD