Steven Bergmann
Steven Bergmann is a registered investment advisor at LPL Financial LLC, based in St. Charles, IL, with 40 years of industry experience. Steven is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
Location
40W188 Campton Crossing, Ste E, St. Charles, IL, 60175
Get directionsHistory
Regulatory History (2)
Customer Dispute
May 2024Customer Dispute
December 2005Other Business ActivitiesSells Insurance
Steven operates Fox River Financial Consultants, LLC as a DBA for his LPL business. He also notarizes forms for clients, spends minimal time on real estate rental through Bergmann Properties, LLC, and dedicates a few hours per week to selling auto, homeowners, and liability insurance.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
AXA Advisors, LLC
AXA Advisors, LLCBroker
The Equitable Life Assurance Society of the United StatesBroker
State Registrations27 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.
Exams
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