Stephen Locko
Stephen Locko is a registered investment advisor at Gwn Securities INC., based in Carlsbad, CA, with 34 years of industry experience. Stephen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management. Their firm serves 37,091 clients with $3.7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
GWN Securities offers several managed account programs with fees based on a percentage of your portfolio's value. These fees are typically billed quarterly. The specific fees vary depending on the program you choose and the amount you invest. Some programs have minimum account sizes and platform fees. GWN's fees do not include brokerage and custodial services. GWN may also recommend third-party money managers, which will result in additional fees.
Location
Carlsbad, CA
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Regulatory History (1)
Regulatory
March 1997Other Business ActivitiesSells Insurance
Stephen is the owner/operator of Beachfront Tax LLC, facilitating tax preparation services, and also works with Resource Marketing, providing non-investment related consultation on corporate enterprise risk and insurance review. Additionally, Stephen is an owner/EVP at ISN Network, focusing on wholesale marketing, sales, and servicing of fixed insurance programs, dedicating nearly full-time hours to this role, and also engages in personal production of insurance products.
Employment History
Current Registrations
Gwn Securities INC.
Gwn Securities INC.Broker
Previous Registrations
Lincoln Financial Securities Corporation
Lincoln Financial Securities CorporationBroker
Greenbook Investment Management, INC.
Keystone Capital CorporationBroker
Xelan Financial Planning, INC.
Xelan Investment Services, INC.
Freedom Financial, INC.Broker
Westfin Securities CorporationBroker
Endeavor GroupBroker
Westplan InvestmentsBroker
Western Financial CorporationBroker
Xelan Securities CorporationBroker
First Imperial Investor Services, INC.Broker
Gna Securities, INC.Broker
State Registrations6 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.