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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

STEVEN MICHAEL JAMES

Advisor at LPL FINANCIAL LLC

LUTHERVILLE, MD

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Search this name across graphsid dfx:ria:854a9519-79dc-5b31-e49d-7cb52da03c5b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 16, 2013 to Sep 14, 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: Apr 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Oct 16, 2012
First registration: Aug 16, 2013
Dual registered: yes, broker-dealer
Other names: STEVEN M JAMES
IAPD individual key: 5921639

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	Aug 14, 2024	n/a	yes	LUTHERVILLE, MD	Current employment
OSAIC FA, INC.	Former SEC adviser	Jan 11, 2024	Aug 19, 2024	no	Lutherville, MD	Previous registration
T. ROWE PRICE ADVISORY SERVICES, INC.	Bd affiliated wealth	Sep 20, 2018	Jul 31, 2020	no	Baltimore, MD	Previous registration
PKS INVESTMENT ADVISORS LLC	Independent wealth	Jan 10, 2017	Jun 25, 2018	no	SALISBURY, MD	Previous registration
T. ROWE PRICE ADVISORY SERVICES, INC.	Bd affiliated wealth	Aug 16, 2013	Jan 4, 2017	no	OWINGS MILLS, MD\|BALTIMORE, MD	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
OSAIC FA, INC.	LPL FINANCIAL LLC	Aug 19, 2024	Aug 14, 2024	-5	Bulk transfer	Ibd to ibd
T. ROWE PRICE ADVISORY SERVICES, INC.	OSAIC FA, INC.	Jul 31, 2020	Jan 11, 2024	1,259	Firm change after gap	RIA to ibd
PKS INVESTMENT ADVISORS LLC	T. ROWE PRICE ADVISORY SERVICES, INC.	Jun 25, 2018	Sep 20, 2018	87	Firm change	RIA to RIA
T. ROWE PRICE ADVISORY SERVICES, INC.	PKS INVESTMENT ADVISORS LLC	Jan 4, 2017	Jan 10, 2017	6	Firm change	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Aug 14, 2024 to presentfactForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Jan 11, 2024 to Aug 19, 2024factForm ADV
→ T. ROWE PRICE ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Sep 20, 2018 to Jul 31, 2020factForm ADV
→ PKS INVESTMENT ADVISORS LLCRegistered adviserregistration: previous registration
Jan 10, 2017 to Jun 25, 2018factForm ADV

Dated events

No dated event names this entity yet.