Robert Stephens is a registered investment advisor at LPL Financial LLC, based in Dallas, TX, with 38 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
14881 Quorum Dr. Suite 125, Dallas, TX, 75254
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Regulatory History (1)
Customer Dispute
July 2004Other Business Activities
Robert operates Upstream Investment Partners as a DBA for his LPL business. He is also a musician in a band called Just Got Paid, spending about 10-20% of his time on this non-investment related activity.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Spc
Sigma Financial CorporationBroker
Spc
Ameriprise Financial Services, INC.Broker
Ameriprise Financial Services, INC.
Ameriprise Advisor Services, INC.
Ameriprise Advisor Services, INC.Broker
Wachovia Securities, INC.
Wachovia Securities, INC.Broker
Bear, Stearns & CO. INC.Broker
Bear, Stearns & CO. INC.Broker
A. G. Edwards & Sons, INC.Broker
Rauscher Pierce Refsnes, INC.Broker
USA Securities, INC.Broker
State Registrations7 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.