Steven Richards
Steven Richards is a registered investment advisor at LPL Financial LLC, based in Carlsbad, CA, with 39 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
Carlsbad, CA
Get directionsHistory
Regulatory History (3)
Customer Dispute
August 2019Regulatory
July 1991Criminal
December 1981Other Business ActivitiesSells Insurance
Steven is an agent for accident & health, life, and variable insurance. He also owns and manages vacation rental property in Hanalei Colony Resort and residential rental property in La Jolla, CA.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Western International Securities, INC.Broker
Western International Securities
Financial West Group
Financial West GroupBroker
Financial West Investment GroupBroker
American Pacific Securities CorporationBroker
Baraban Securities, INC.Broker
State Registrations10 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.