Judith Ann Steele

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

• 01/2007 → 09/2022
  First Allied Securities, Inc.
  San Diego, CA
• 07/2012 → 11/2020
  First Allied Advisory Services, Inc.
  Chesterfield, MO
• 11/2020 → 06/2024
  First Allied Advisory Services
  Schaumburg, IL
• 09/2022 → 06/2024
  Cetera Advisors Llc
  Granite Bay, CA
• 06/2024 → Present
  Lpl Financial Llc
  Granite Bay, CA

Previous Registrations

• 2020-11-12 → 2024-06-12
  Cetera Investment Advisers Llc
  Granite Bay, CA
• 2012-07-02 → 2020-11-12
  First Allied Advisory Services, Inc.
  Granite Bay, CA
• 2007-01-23 → 2012-07-02
  First Allied Securities, Inc.
  West Sacramento, CA
  Sacramento, CA
  Granite Bay, CA
  West Sacramento, CA
• 1997-07-08 → 2007-01-25
  Citigroup Global Markets Inc.
  Folsom, CA
  Folsom, CA

Other Businesses

1. 04/30/2024 - Steele Financial Partners - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 7/1/2017 - 144 hrs/Mo; 6 Hrs During Trading. 2. 04/30/2024 - Steele Family Trust - Inv Related - Loomis, CA - Real Estate Rental - Started: 5/20/2015 - 2% of Time Spent.

Exams

• S65 Uniform Investment Adviser Law Examination
  1993-07-29
• S63 Uniform Securities Agent State Law Examination
  1985-12-23

Other Names

• Judith Steelewalton
• Judith Ann Walton
• Judith Ann Steele
• Judith Steele Morgan