Steven W Shirley

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

• 05/2001 → 11/2017
  Ims Financial Advisors, Inc.
  Houston, TX
• 05/2001 → 11/2017
  Ims Securities, Inc.
  Houston, TX
• 11/2017 → 10/2025
  Calton & Associates, Inc.
  Houston, TN
• 03/2022 → 10/2025
  Westpark Wealth Advisors, Inc.
  Houston, TX
• 10/2025 → Present
  Lpl Financial Llc
  Friendswood, TX

Previous Registrations

• 2022-03-17 → 2025-10-18
  Westpark Wealth Advisors, Inc.
  Houston, TX
  Friendswood, TX
• 2004-05-13 → 2021-12-31
  Westpark Wealth Advisors, Inc.
  Houston, TX
  Houston, TX
  Houston, TX
  Friendswood, TX
  Houston, TX
  Houston, TX

Other Businesses

1) 09/2025 - Steven Shirley Company / DBA for LPL Business (entity for LPL business) Inv Related / At reported business location (s) 60 hrs per month - 60 Total Hours per month during trading 2) 09/2025 - Steven Shirley Company / Non-Variable Insurance / Non Inv Related / Friendswood TX 77546 / Start date 03/02/2005 - 10 Total Hours per month - 10 Total Hours per month during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-07-14
• S63 Uniform Securities Agent State Law Examination
  2001-09-14

Other Names

• Steve Shirley