Steven E. Stewart
Professional summary
Steven Edward Stewart, who also goes by Steve Stewart, Steven E Stewart, is a registered financial professional currently at LPL ENTERPRISE, LLC located in Bradenton, Florida.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1985. Steven has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Edward Stewart's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 5105 Manatee Avenue West Suite 14, Bradenton, FL 34209Office #2: 12601 Gulf Blvd, Treasure Island, FL 33706February 2, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
November 10, 2020 - January 27, 2021
SUPREME ALLIANCE LLC
March 27, 2020 - January 27, 2021
SUPREME ALLIANCE LLC
August 17, 2004 - March 11, 2020
ALLSTATE FINANCIAL SERVICES, LLC
November 13, 2003 - August 10, 2004
VSR FINANCIAL SERVICES, INC.
November 3, 2003 - August 10, 2004
VSR FINANCIAL SERVICES, INC.
May 24, 2001 - October 31, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 22, 2001 - October 31, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 28, 1994 - January 12, 2001
AMSOUTH INVESTMENT SERVICES, INC.
October 18, 1994 - November 9, 1994
AMSOUTH INVESTMENT SERVICES, INC.
December 10, 1993 - October 17, 1994
GLENFED BROKERAGE SERVICES
August 11, 1993 - November 18, 1993
BARNETT INVESTMENTS, INC.
June 8, 1988 - August 11, 1993
GLENFED BROKERAGE SERVICES
May 3, 1988 - May 13, 1988
ARGUS SECURITIES, INC.
January 27, 1987 - May 11, 1988
NATIONSBANC SECURITIES OF GEORGIA, INC.
March 24, 1986 - February 4, 1987
E. F. HUTTON & COMPANY INC
May 24, 1985 - February 6, 1986
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
Primary Firm SEC Registration
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/14/2024)
(11/15/2024)
(11/14/2024)
(9/8/2025)
(7/30/2025)
(11/14/2024)
(12/20/2024)
(1/31/2025)
(12/20/2024)
Exams
FINRA
Current Firm
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
