Steven J. Wrede
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steven Jobes Wrede, CPWA®, who also goes by Steve J Wrede, Steve Wrede, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1988. Steven had worked at 8 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2017-06-02
Expire date: 2023-05-31
Experience
March 24, 2021 - November 11, 2024
LPL FINANCIAL LLC
March 24, 2021 - November 11, 2024
LPL FINANCIAL LLC
July 28, 2015 - March 24, 2021
BMO HARRIS FINANCIAL ADVISORS, INC.
July 13, 2015 - March 24, 2021
BMO HARRIS FINANCIAL ADVISORS, INC.
January 3, 2011 - July 6, 2015
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - July 6, 2015
WELLS FARGO CLEARING SERVICES, LLC
August 31, 2005 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
August 17, 2005 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
May 28, 1997 - August 10, 2005
BANC ONE SECURITIES CORPORATION
February 1, 1996 - August 10, 2005
BANC ONE SECURITIES CORPORATION
March 9, 1993 - February 1, 1996
BANC ONE ARIZONA INVESTMENT SERVICES CORPORATION
June 18, 1992 - February 24, 1993
OSAIC FA, INC.
January 19, 1988 - March 17, 1988
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
