Steve Christopher Charonis

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

• 12/2009 → Present
  Lpl Financial Llc
  San Mateo, CA

Previous Registrations

• 2007-01-17 → 2009-12-15
  Harrisdirect Llc
  Jersey City, NJ
• 1999-01-25 → 2007-01-17
  Ubs Financial Services Inc.
  San Mateo, CA
  San Mateo, CA

Other Businesses

1) 12/16/2014: Steve C. Charonis, Inc. - Business Entity For Tax/Investment Purposes Only - Investment Related - 520 S. El Camino Real, Suite 320, San Mateo, CA 94402 - Start 12/15/2014 - No Time Spent - LPL Commissions/Fees 2) 08/07/2015: No Business Name - Real Estate Rental - Investment Related - 18018 Hummingbird Dr, Penn Valley, CA - Start 08/24/2015 - 1 Hr/Mo; 0 Hour(s) During Securities Trading - Purchasing single family house for rental purposes, joint ownership with my wife. Tenant is not a client. 3) 09/22/2016: No Business Name - Real Estate Rental - Investment Related - 14413 Lodgepole Dr, Penn Valley, CA 95946 - Start 10/01/2016 - 2 Hr/Mo; 0 Hour(s) During Securities Trading - Purchasing house in joint ownership with my wife as long-term rental. Tenant is not a client. 4) 09/15/2022 - No Business Name - Investment Related - Chico, CA - Real Estate Rental - Start Date - 10/01/2022 - 1 Hours Per Month/0 Hours During Securities Trading 5) 10/17/2023 - Steve and Jacqueline Charonis - Real Estate Rental - Owner - Investment Related - Valley Springs, CA - Start Date 11/03/2023 - 2 Hours Per Month/0 Hours During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-11-24
• S63 Uniform Securities Agent State Law Examination
  1998-10-08