Stephen Willis
Stephen Willis is a registered investment advisor at LPL Financial LLC, based in San Antonio, TX, with 44 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
19230 Stone Oak Parkway ste 310, San Antonio, TX, 78258
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
March 1988Other Business Activities
Stephen operates Upstream Investment Partners as a DBA for his LPL business. He also owns Willis Ranch, raising cattle, dedicating about a quarter of his time, and acts as a trustee for Willis Management LLC, spending about 10-20% of his time.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
LPL Financial LLC
Previous Registrations
Spc
Sigma Financial CorporationBroker
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Clearing Services, LLC
Prudential Securities Incorporated
Prudential Securities IncorporatedBroker
Rauscher Pierce Refsnes, INC.Broker
Everen Securities, INC.Broker
Lovett Underwood Neuhaus & Webb, INC.Broker
Underwood, Neuhaus & CO., IncorporatedBroker
Shearson Lehman Hutton INC.Broker
State Registrations3 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.