Steven Mark Dalton

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2025-11-06
IN	RA	APPROVED	2019-09-10
TX	RA	APPROVED_RES	2019-08-15

FL RA
APPROVED

Since 2025-11-06
IN RA
APPROVED

Since 2019-09-10
TX RA
APPROVED_RES

Since 2019-08-15

Branch Locations

Bonita Springs, FL • United States

Knightstown, IN • United States

Disclosures

4 disclosure categories 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 Yes
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Securities America Inc	Knightstown	IN	04/2015	08/2019
Securities America Advisors	Knightstown	IN	04/2015	08/2019
Arbor Point Advisors	Knightstown	IN	04/2015	08/2019
Lpl Financial, Llc	Knightstown	IN	08/2019	Present

04/2015 → 08/2019

Securities America Inc

Knightstown, IN
04/2015 → 08/2019

Securities America Advisors

Knightstown, IN
04/2015 → 08/2019

Arbor Point Advisors

Knightstown, IN
08/2019 → Present

Lpl Financial, Llc

Knightstown, IN

Previous Registrations

2015-04-13 → 2019-08-15

Securities America Advisors, Inc.

Knightstown, IN
2015-04-13 → 2019-08-15

Arbor Point Advisors

Knightstown, IN
2008-02-08 → 2015-01-05

Dalton Strategic Investment Services Inc.

Bradford, OH

Lancaster, OH

Knightstown, IN

Knightstown, IN

Rockford, MI

Burton, MI

Knightstown, IN

Knightstown, IN
1998-11-24 → 2002-12-31

Bts Asset Management, Inc.

Indianapolis, IN

Other Businesses

1. 08/15/2019 - STEVEN DALTON/ NON-VARIABLE INSURANCE/ INVESTMENT RELATED/ 5%/ KNIGHTSTOWN, IN 2. 07/01/1988 - DALTON STRATEGIC/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ KNIGHTSTOWN, IN 3. 07/01/2016 - DALTON REAL ESTATE/ DALTON REAL ESTATE/ INVESTMENT RELATED/ 2%/ 25730 HICKORY BLVD, UNIT 736C, BONITA SPRINGS, FL 34134 4. 12/24/2020 - Dalton Wealth Managers - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/11/2020 - 120 Hours Per Month/120 Hours During Securities Trading. 5. 05/24/2024 - Bonita Beach Club Inc. - Non-Profit Board Member - Treasurer - Not Investment Related - Bonita Springs, FL - Start Date 07/13/2022 - 20 Hours Per Month/ 5 Hours During Trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-02-07
S63	Uniform Securities Agent State Law Examination	1982-10-06

S65 Uniform Investment Adviser Law Examination

2008-02-07
S63 Uniform Securities Agent State Law Examination

1982-10-06

View on SEC IAPD