Steven Max Ehrman

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
WI	RA	APPROVED	2022-07-11
FL	RA	APPROVED	2018-09-21

WI RA
APPROVED

Since 2022-07-11
FL RA
APPROVED

Since 2018-09-21

Branch Locations

Cape Coral, FL • United States

Webster, WI • United States

Disclosures

1 disclosure category 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 No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc	Cape Coral	FL	04/2005	Present

04/2005 → Present

Lpl Financial Llc

Cape Coral, FL

Previous Registrations

1999-03-14 → 2005-05-11

Piper Sandler & Co.

Denver, CO

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-27
S63	Uniform Securities Agent State Law Examination	1985-10-28

S65 Uniform Investment Adviser Law Examination

1999-12-27
S63 Uniform Securities Agent State Law Examination

1985-10-28

Other Names

Steve Ehrman
Stven Max Ehrman
Steven M Ehrman

View on SEC IAPD