Steven Neil Carlsen

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

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Rolling Hills Estates, CA
• 11/2016 → 06/2021
  Wells Fargo Clearing Services, Llc
  Rolling Hills Estates, CA
• 06/2021 → Present
  Lpl Financial Llc
  Rancho Palos Verdes, CA

Previous Registrations

• 2007-02-22 → 2021-07-01
  Wells Fargo Clearing Services, Llc
  Rolling Hills Estates, CA
• 1997-07-08 → 2007-02-27
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Long Beach, CA
  Rolling Hills Estates, CA

Other Businesses

1) 6/2021- Arise Private Wealth- DBA for LPL Business (entity for LPL business)- Inv. Related- Rancho Palos Verdes, CA - 140 hrs/mth 2) 6/2021- Surf and Sage LLC- Business Entity For Tax/Investment Purposes Only- Inv. Related- Rancho Palos Verdes, CA- 160hrs/mth 3) 6/2021- STEVEN N & MALIA G CARLSEN 1999 REVOCABL- Real Estate Rental- Inv. Related- San Pedro, CA - 1hr/mth

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-08-09
• S63 Uniform Securities Agent State Law Examination
  1987-03-17