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Steven Wayne Schindler

LPl Financial LLC

Carmel, IN

Morrison, CO

Denver, CO

CRD 1343874

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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

AuthorityCategoryStatusDate
CO RA APPROVED 2025-01-14
TX RA APPROVED_RES 2013-03-28
  • CO RA
    APPROVED
    Since 2025-01-14
  • TX RA
    APPROVED_RES
    Since 2013-03-28

Branch Locations

Carmel, IN • United States

Morrison, CO • United States

600 17Th St Ste 2800, Denver, CO 80202-5428 • 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
OrganizationCityStateFromTo
Linsco Private Ledger Denver CO 04/2005 Present
  • 04/2005 → Present
    Linsco Private Ledger
    Denver, CO
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-01-28
S63 Uniform Securities Agent State Law Examination 1985-03-28
  • S65 Uniform Investment Adviser Law Examination
    1993-01-28
  • S63 Uniform Securities Agent State Law Examination
    1985-03-28
Other Names
  • Steve Schindler
  • Steven W Schindler

View on SEC IAPD

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