Stephen Nappo
Stephen Nappo is a registered investment advisor at LPL Financial LLC, based in Williamsville, NY, 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
8660 Sheridan Drive, Williamsville, NY, 14221
Get directionsHistory
Regulatory History (3)
Regulatory
December 2020Employment Separation After Allegations
January 2015Employment Separation After Allegations
May 1996Other Business ActivitiesSells Insurance
Stephen is the Vice President of Queen City Manufacturing, a sponge manufacturer, dedicating about 10-20% of his time. He also owns Nappo Financial Services, selling mutual funds, variable annuities, and other investment products, and Benefits and More, selling various insurance products; these activities each take about half of his time. Finally, Stephen owns rental property, spending minimal time on it.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Cadaret Grant & CO INC
Cadaret, Grant & CO., INC.Broker
Financial West GroupBroker
Signator Investors, INC.Broker
John Hancock Mutual Life Insurance CompanyBroker
MML Investors Services, 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.