Stephen Jay Gibbs

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	2016-09-22
IL	RA	APPROVED	2009-02-27

TX RA
APPROVED_RES

Since 2016-09-22
IL RA
APPROVED

Since 2009-02-27

Branch Locations

Edwards, IL • 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
Lpl Financial Llc	Peoria	IL	02/2009	Present

02/2009 → Present

Lpl Financial Llc

Peoria, IL

Previous Registrations

2004-07-16 → 2009-03-05

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Peoria, IL

Peoria, IL
2000-03-23 → 2004-07-21

Equitable Advisors, Llc

Peoria, IL

Other Businesses

1. 02/04/2009 - GIBBS FINANCIAL - INV REL - AT REPORTED LOCATION - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) 2. 02/04/2009 - ACT IN A FIDUCIARY CAPACITY - INV REL - 1% TIME SPENT - CO-TRUSTEE WITH PATRICIA A. GIBBS FOR THE PATRICIA A. GIBBS TRUST

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-06-15
S63	Uniform Securities Agent State Law Examination	1991-07-23

S65 Uniform Investment Adviser Law Examination

1999-06-15
S63 Uniform Securities Agent State Law Examination

1991-07-23

View on SEC IAPD