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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

STEPHEN PAUL AUGUST

Advisor at LPL FINANCIAL LLC

TULSA, OK

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Feb 22, 1996 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: Aug 25, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Aug 25, 1995
First registration: Feb 22, 1996
Dual registered: yes, broker-dealer
Other names: STEVE AUGUST|STEVE PAUL AUGUST
IAPD individual key: 1097656

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	Nov 29, 2017	n/a	yes	TULSA, OK	Current employment
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Aug 25, 2015	Nov 29, 2017	no	TULSA, OK\|TULSA, OK	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Jan 17, 2013	Aug 28, 2015	no	Tulsa, OK	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Apr 14, 2010	May 15, 2012	no	Tulsa, OK	Previous registration
CORNERSTONE FINANCIAL SERVICES, INC.	Former SEC adviser	May 19, 2009	Apr 1, 2010	no	DALLAS, TX\|TULSA, OK	Previous registration
VINEYARD ASSET MANAGEMENT, LLC	n/a	Nov 1, 2007	Oct 2, 2008	no	TULSA, OK	Previous registration
OSAIC WEALTH, INC.	Bd affiliated wealth	Aug 8, 2002	Oct 8, 2008	no	BROKEN ARROW, OK\|TULSA, OK	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 22, 1996	Aug 1, 2002	no	TULSA, OK	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
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	LPL FINANCIAL LLC	Nov 29, 2017	Nov 29, 2017	0	Firm change	Other
MML INVESTORS SERVICES, LLC	NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Aug 28, 2015	Aug 25, 2015	-3	Firm change	Other
J.P. MORGAN SECURITIES LLC	MML INVESTORS SERVICES, LLC	May 15, 2012	Jan 17, 2013	247	Firm change	Other
CORNERSTONE FINANCIAL SERVICES, INC.	J.P. MORGAN SECURITIES LLC	Apr 1, 2010	Apr 14, 2010	13	Firm change	Other
OSAIC WEALTH, INC.	VINEYARD ASSET MANAGEMENT, LLC	Oct 8, 2008	Nov 1, 2007	-342	Firm change after gap	Other
VINEYARD ASSET MANAGEMENT, LLC	CORNERSTONE FINANCIAL SERVICES, INC.	Oct 2, 2008	May 19, 2009	229	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	OSAIC WEALTH, INC.	Aug 1, 2002	Aug 8, 2002	7	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
29604:6413:OK:2017-11-29	Nov 29, 2017	Nov 29, 2017	TULSA, OK	Firm change

Relationships

Registered with (8)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Nov 29, 2017 to presentfactForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Aug 25, 2015 to Nov 29, 2017factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Jan 17, 2013 to Aug 28, 2015factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Apr 14, 2010 to May 15, 2012factForm ADV
→ CORNERSTONE FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
May 19, 2009 to Apr 1, 2010factForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Aug 8, 2002 to Oct 8, 2008factForm ADV
→ VINEYARD ASSET MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 1, 2007 to Oct 2, 2008factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Feb 22, 1996 to Aug 1, 2002factForm ADV

Dated events

No dated event names this entity yet.