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Glenn Steven Stempler

LPl Financial LLC

New Smyrna Beach, FL

Fort Mill, SC

CRD 1455622

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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
FL RA APPROVED 2014-09-17
NC RA APPROVED 2013-02-12
  • FL RA
    APPROVED
    Since 2014-09-17
  • NC RA
    APPROVED
    Since 2013-02-12

Branch Locations

New Smyrna Beach, FL • United States

1055 Lpl Way, Fort Mill, SC 29715 • 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
Lpl Financial Llc Fort Mill SC 01/2013 Present
Previous Registrations
  • 2010-09-09 → 2012-10-26
    Grove Point Investments, Llc
    Rockville, MD
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-09-07
S63 Uniform Securities Agent State Law Examination 1993-06-25
  • S66 Uniform Combined State Law Examination
    2010-09-07
  • S63 Uniform Securities Agent State Law Examination
    1993-06-25

View on SEC IAPD

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