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Stephen Arnold

Kestra Advisory Services, LLC
42 Years of Experience
Palm Desert, CA
4 DisclosuresBrokerSells Insurance
View SEC Summary
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Stephen Arnold is a registered investment advisor at Kestra Advisory Services, LLC, based in Palm Desert, CA, with 42 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Annuities, Education Planning, Estate Planning, Insurance Planning, and 3 more. Their firm serves 117,403 clients with $80B in assets under management.

Kestra Advisory Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1456 advisors
Number of Clients
117,403 clients
Average Client Portfolio
$680K average
Assets Under Management
$79.8B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Asset-based fees range up to 2.5% of assets under management and are negotiable based on account size, registration type, and services provided.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Palm Desert, CA

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
February 2006
Final
Customer Dispute
May 2002
Pending
Employment Separation After Allegations
August 2001
Customer Dispute
May 1994
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Stephen is a registered representative with Financial Pointe and an IAR with Kestra Advisory Services, dedicating about half his time to the latter. Stephen also owns an insurance business, spending minimal time selling and servicing insurance clients.

Employment History
Current Registrations
Kestra Investment Services, LLCBroker
October 2023 - Present · 3 yrs
Kestra Advisory Services, LLC
October 2023 - Present · 3 yrs
Previous Registrations
Osaic Wealth, INC.Broker
September 2023 - October 2023 · 1 mo
Osaic Wealth, INC.
September 2023 - October 2023 · 1 mo
Sagepoint Financial, INC.
January 2013 - September 2023 · 10 yrs 8 mos
Sagepoint Financial, INC.Broker
January 2013 - September 2023 · 10 yrs 8 mos
Independent Financial Group, LLC
January 2009 - January 2013 · 4 yrs
Independent Financial Group, LLCBroker
December 2008 - January 2013 · 4 yrs 1 mo
Eplanning Advisors INC
October 2008 - December 2008 · 2 mos
Eplanning Securities, INC.Broker
June 2008 - December 2008 · 6 mos
Morgan Peabody, INC.Broker
July 2007 - June 2008 · 11 mos
Brookstreet Securities CorporationBroker
October 2002 - July 2007 · 4 yrs 9 mos
California Financial Network, INC.Broker
September 2001 - January 2003 · 1 yr 4 mos
Transamerica Financial Advisors, INC.Broker
June 1995 - August 2001 · 6 yrs 2 mos
Metlife Securities INC.Broker
July 1991 - April 1995 · 3 yrs 9 mos
Metropolitan Life Insurance CompanyBroker
July 1991 - April 1995 · 3 yrs 9 mos
Dean Witter Reynolds INC.Broker
April 1988 - May 1991 · 3 yrs 1 mo
Shearson Lehman Hutton INC.Broker
February 1988 - May 1988 · 3 mos
E. F. Hutton & Company INCBroker
April 1984 - February 1988 · 3 yrs 10 mos
Paine, Webber, Jackson & Curtis INC.Broker
August 1983 - March 1984 · 7 mos
State Registrations5 states
AZCANVTXWA
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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