Stephen Craig Williams

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

• 01/1998 → Present
  Gyl Decauwer
  Rnacho Cucamonga, CA
• 10/2015 → 09/2022
  First Allied Securities, Inc
  San Diego, CA
• 10/2015 → 11/2020
  First Allied Advisory Services, Inc.
  Chesterfield, MO
• 11/2020 → 09/2022
  First Allied Advisory Services
  Schaumburg, IL
• 09/2022 → 02/2025
  Cetera Advisors Llc
  Ontario, CA
• 03/2025 → Present
  Lpl Financial Llc
  Ontario, CA
• 09/2022 → 02/2025
  Cetera
  Ontario, CA

Previous Registrations

• 2020-11-12 → 2025-03-13
  Cetera Investment Advisers Llc
  Ontario, CA
• 2015-10-13 → 2020-11-12
  First Allied Advisory Services, Inc.
  Ontario, CA
• 2000-11-30 → 2015-10-15
  Equitable Advisors, Llc
  Los Angeles, CA
  Rancho Cucamonga, CA
  Woodland Hills, CA

Other Businesses

1 - 01/2025 - Stephen Williams - Non-Variable Insurance - Inv Related - 1 Hour/Month - CA 92625 - OBA Start Date: 01/02/2006. 2 - 01/2025 - World's Best Pizza Inc - Business Owner - Inv Related - 5 Hours/Month - CA 91745 - OBA Start Date: 04/07/2023. 3 - 01/2025 - GYL LLP - Tax Prep/Accounting/CPA - Inv Related - 25 Hours/Month - CA 91764 - OBA Start Date: 01/01/1998. 4 - 01/2025 - Carlon Wealth Advisors - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hours/Month - 7 Hours During Trading - At reported business location(s).

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-05-24
• S63 Uniform Securities Agent State Law Examination
  1999-04-02