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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

STEPHEN PETER RIORDAN

Advisor at LPL FINANCIAL LLC

SCOTTSDALE, AZ | PHOENIX, AZ

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 31, 2012 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 1, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Jul 1, 1997
First registration: May 31, 2012
Dual registered: yes, broker-dealer
Other names: STEPHEN PETER RIORDAN|STEVE PETER RIORDAN
IAPD individual key: 2872386

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Mar 24, 2021	n/a	yes	SCOTTSDALE, AZ\|PHOENIX, AZ\|PHOENIX, AZ\|PHOENIX, AZ\|PHOENIX, AZ\|PHOENIX, AZ	Current employment
BMO HARRIS FINANCIAL ADVISORS, INC	Former SEC adviser	Aug 1, 2012	Mar 24, 2021	no	PHOENIX, AZ\|PARADISE VALLEY, AZ\|PEORIA, AZ\|CHICAGO, IL	Previous registration
M&I FINANCIAL ADVISORS, INC.	Former SEC adviser	May 31, 2012	Aug 1, 2012	no	SCOTTSDALE, AZ\|PHOENIX, AZ\|PHOENIX, AZ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
BMO HARRIS FINANCIAL ADVISORS, INC	LPL FINANCIAL LLC	Mar 24, 2021	Mar 24, 2021	0	Bulk transfer	Ibd to ibd
M&I FINANCIAL ADVISORS, INC.	BMO HARRIS FINANCIAL ADVISORS, INC	Aug 1, 2012	Aug 1, 2012	0	Channel change	Other

Relationships

Registered with (3)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Mar 24, 2021 to presentfactForm ADV
→ BMO HARRIS FINANCIAL ADVISORS, INCRegistered adviserregistration: previous registration
Aug 1, 2012 to Mar 24, 2021factForm ADV
→ M&I FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
May 31, 2012 to Aug 1, 2012factForm ADV

Dated events

No dated event names this entity yet.