Steven Farley Richards

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

• 04/1991 → 08/2017
  Financial West Group
  Westlake Village, CA
• 08/2017 → 06/2025
  Western International Securities, Inc.
  Pasadena, CA
• 06/2025 → Present
  Lpl Financial Llc
  Carlsbad, CA

Previous Registrations

• 2017-08-21 → 2025-06-05
  Western International Securities, Inc.
  Carlsbad, CA
  Northridge, CA
• 1997-07-08 → 2017-08-21
  Financial West Group
  Northridge, CA
  Henderson, NV
  Carlsbad, CA
  Irvine, CA
  Carlsbad, CA

Other Businesses

1. 6/5/2025: Non-Variable Insurance; LPL Financial; At reported business location(s); Inv. related; start date 10/18/2017; 2hrs/mo.; 1hr during trading. 2. 06/05/2025 - Self - Real Estate Rental - Owner - Investment Related - La Jolla, CA - Start Date 06/17/2014 - 2 hours per month/ 0 hours during trading

Exams

• S63 Uniform Securities Agent State Law Examination
  1997-06-02