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Steven Flax

Executive Vice-President, Chief Human Resources Officer at Lincoln Investment Planning

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
3
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Steven Flax is Executive Vice-President, Chief Human Resources Officer of Lincoln Investment Planning, LLC, a Fort Washington investment adviser managing $22B. Steven Flax has a current broker registration and no current investment-adviser registration and has passed the Series 6, SIE and Series 99TO.

Role at Lincoln Investment Planning

Title on Schedule A
Executive Vice-President, Chief Human Resources Officer
Control
Steven Flax is a control person of Lincoln Investment Planning.
Ownership
An individual ownership band is not available in the source record.
Tenure
Steven Flax has held the filed role since February 2025.

The firm

Lincoln Investment Planning, LLC
Fort Washington, PA

Form ADV filed 20 July 2026

$22B AUM138,369 clients874 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 6 · 2012

Registrations and exams

Broker registration; no current adviser registration. Steven Flax has passed 3 qualifying exams.

Examinations

Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 615 October 2012
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Steven Neil Flax
CRD
5655474
Firm
Lincoln Investment Planning, LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Steven Flax work?

Steven Flax has been Executive Vice-President, Chief Human Resources Officer of Lincoln Investment Planning, LLC since February 2025, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 20 July 2026

Does Steven Flax have a current investment-adviser registration?

Steven Flax has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Steven Flax passed?

Steven Flax has passed 3 licensing exams: the Series 6, SIE and Series 99TO. The earliest, the Series 6, was passed in October 2012.

Source: IAPD individual record, checked 18 October 2026

Leadership at Lincoln Investment Planning

Sources

  1. IAPD individual record, CRD 5655474. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Lincoln Investment Planning, LLC, filed 20 July 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Steven Flax or Lincoln Investment Planning, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.