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Steven Carlsen

LPL Financial LLC
39 Years of Experience
Rancho Palos Verdes, CA
1 DisclosureBroker
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Steven Carlsen is a registered investment advisor at LPL Financial LLC, based in Rancho Palos Verdes, CA, with 39 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.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

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

Location

550 Silver Spur Rd Ste 350, Rancho Palos Verdes, CA, 90275

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History

Regulatory History (1)
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.
Customer Dispute
June 2022
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Steven operates Arise Private Wealth as a DBA for his LPL business and Surf and Sage LLC for tax/investment purposes, dedicating nearly full-time hours to each. He also manages real estate rentals, spending minimal time on this activity.

Employment History
Current Registrations
LPL Financial LLCBroker
June 2021 - Present · 5 yrs 4 mos
LPL Financial LLC
June 2021 - Present · 5 yrs 4 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
February 2007 - July 2021 · 14 yrs 5 mos
Wells Fargo Clearing Services, LLC
February 2007 - July 2021 · 14 yrs 5 mos
Merrill Lynch Pierce Fenner & Smith INC.
July 1997 - February 2007 · 9 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1990 - February 2007 · 16 yrs 5 mos
Kemper Securities Group, INC.Broker
September 1990 - September 1990 · 0 mos
Bateman Eichler, Hill Richards, IncorporatedBroker
November 1986 - September 1990 · 3 yrs 10 mos
State Registrations35 states
ALAZCACOCTDCFLGAHIIDILKSLAMAMDMNMOMSMTNCNENJNVNYOHORPASCTNTXUTVAWAWIWY
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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