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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)32 years in industry

JEFFREY MICHAEL STEINER

Advisor at LPL FINANCIAL LLC

HOUSTON, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 17, 2002 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: Dec 2, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Dec 2, 1993
First registration: Oct 17, 2002
Dual registered: yes, broker-dealer
Other names: JEFFREY STEINER
IAPD individual key: 2419922

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	Jun 23, 2017	n/a	yes	HOUSTON, TX\|HOUSTON, TX	Current employment
WADDELL & REED	Former SEC adviser	Apr 9, 2010	Jun 29, 2017	no	SEATTLE, WA\|EDMOND, OK\|HOUSTON, TX	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 3, 2003	Apr 13, 2010	no	SEATTLE, WA\|SEATTLE, WA	Previous registration
AMERIPRISE ADVISOR SERVICES, INC.	n/a	Jun 24, 2003	Nov 10, 2003	no	SEATTLE, WA	Previous registration
CHOREO, LLC	Independent wealth	Oct 17, 2002	Jun 25, 2003	no	SEATTLE, WA	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
WADDELL & REED	LPL FINANCIAL LLC	Jun 29, 2017	Jun 23, 2017	-6	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WADDELL & REED	Apr 13, 2010	Apr 9, 2010	-4	Firm change	Other
AMERIPRISE ADVISOR SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Nov 10, 2003	Nov 3, 2003	-7	Firm change	Other
CHOREO, LLC	AMERIPRISE ADVISOR SERVICES, INC.	Jun 25, 2003	Jun 24, 2003	-1	Bulk transfer	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 23, 2017 to presentfactForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Apr 9, 2010 to Jun 29, 2017factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 3, 2003 to Apr 13, 2010factForm ADV
→ AMERIPRISE ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Jun 24, 2003 to Nov 10, 2003factForm ADV
→ CHOREO, LLCRegistered adviserregistration: previous registration
Oct 17, 2002 to Jun 25, 2003factForm ADV

Dated events

No dated event names this entity yet.