• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
STEVEN LEE KIMES
CRD#: 2971456
IA
Investment Adviser
B
Broker
LPL ENTERPRISE, LLCCRD#: 8733 1201 NORTH 13TH STREET
NORFOLK, NE 68701
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2005 - 2014 (8 years)2 FIRMS2014 - 2023 (9 years)2 FIRMS2023 - 2024 (1 year)2 FIRMS2024 - Present (<1 year)BTHRIVENT INVESTMENT MANAGEMENT... (CRD# 18387)1998 - 2005 (6 years)BAAL CAPITAL MANAGEMENT CORPORATION (CRD# 18387)1997 - 1998 (<1 year)IATHRIVENT INVESTMENT MANAGEMENT... (CRD# 18387)2004 - 2005 (1 year)
License(s)

State Registrations

B
Arizona 11/14/2024

B
North Dakota 11/14/2024

IA
Arizona 11/14/2024

B
Ohio 11/14/2024

B
Colorado 11/14/2024

IA
Oklahoma 11/14/2024

B
Florida 11/15/2024

B
South Dakota 11/14/2024

B
Iowa 11/14/2024

B
Texas 11/14/2024

B
Missouri 11/14/2024

IA
Texas 11/14/2024

B
Nebraska 11/14/2024

B
Washington 11/14/2024

IA
Nebraska 11/14/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL ENTERPRISE, LLC (CRD#:8733)
1201 NORTH 13TH STREET, NORFOLK, NE 68701
Registered with this firm since 11/14/2024

B
LPL ENTERPRISE, LLC (CRD#:8733)
1201 NORTH 13TH STREET, NORFOLK, NE 68701
Registered with this firm since 11/14/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
02/08/2023 - 11/14/2024 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) Norfolk, NE
B
02/08/2023 - 11/14/2024 PRUCO SECURITIES, LLC. (CRD#:5685) Norfolk, NE
IA
02/14/2014 - 02/10/2023 EAGLE STRATEGIES LLC (CRD#:110826) NORFOLK, NE
B
02/03/2014 - 02/10/2023 NYLIFE SECURITIES LLC (CRD#:5167) NORFOLK, NE
IA
09/01/2005 - 01/28/2014 LPL FINANCIAL LLC (CRD#:6413) NORFOLK, NE
B
08/31/2005 - 01/28/2014 LPL FINANCIAL LLC (CRD#:6413) NORFOLK, NE
IA
04/02/2004 - 09/02/2005 THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387) NORFOLK, NE
B
10/07/1998 - 09/02/2005 THRIVENT INVESTMENT MANAGEMENT INC. (CRD#:18387) MINNEAPOLIS, MN
B
12/18/1997 - 07/08/1998 AAL CAPITAL MANAGEMENT CORPORATION (CRD#:18387) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.