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Stephen Richard Ruhmel

LPl Financial LLC

Alva, FL

CRD 1731999

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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 2023-07-27
NJ RA APPROVED 2002-06-05
  • FL RA
    APPROVED
    Since 2023-07-27
  • NJ RA
    APPROVED
    Since 2002-06-05

Branch Locations

Alva, FL • 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
Steve Ruhmel-Photography Princeton NJ 02/1985 Present
Linsco/Private Ledger Corp. W Trenton NJ 08/1995 Present
  • 02/1985 → Present
    Steve Ruhmel-Photography
    Princeton, NJ
  • 08/1995 → Present
    Linsco/Private Ledger Corp.
    W Trenton, NJ
Other Businesses

1. INDEPENDENT INSURANCE AGENT / WEST TRENTON, NJ / FIXED PRODUCTS ONLY / APPROVED 9-16-2002

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-07-26
S63 Uniform Securities Agent State Law Examination 1995-05-22
  • S65 Uniform Investment Adviser Law Examination
    2023-07-26
  • S63 Uniform Securities Agent State Law Examination
    1995-05-22

View on SEC IAPD

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