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ChFC

Stephen Horvath

LPL Financial LLC
37 Years of Experience
Tucson, AZ
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Stephen Horvath is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Tucson, AZ, with 37 years of industry experience. Stephen 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

2030 E Speedway Blvd Suite 220, Tucson, AZ, 85719

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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
April 2005
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Stephen is an independent insurance agent since 1990, dedicating minimal time to this activity. He is also an advisory representative of a RIA, spending nearly full-time hours on this. Stephen owns rental property in California, requiring minimal time, and is an owner/partner of Eruditius Wealth Advisors, Inc, spending a few hours per week.

Employment History
Current Registrations
LPL Financial LLC
January 2026 - Present · 9 mos
LPL Financial LLC
January 2026 - Present · 9 mos
LPL Financial LLCBroker
January 2026 - Present · 9 mos
Previous Registrations
Cambridge Investment Research Advisors, INC.
February 2016 - February 2026 · 10 yrs
Cambridge Investment Research, INC.Broker
February 2016 - February 2026 · 10 yrs
Sii Investments, INC.
April 2009 - February 2016 · 6 yrs 10 mos
Sii Investments, INC.Broker
April 2009 - February 2016 · 6 yrs 10 mos
Commonwealth Financial NetworkBroker
November 2006 - May 2009 · 2 yrs 6 mos
Commonwealth Financial Network
November 2006 - May 2009 · 2 yrs 6 mos
Aig Financial Advisors, INC.
January 2006 - December 2006 · 11 mos
Aig Financial Advisors, INC.Broker
October 2005 - December 2006 · 1 yr 2 mos
The Householder Group, Estate & Retirement Specialists
February 2000 - January 2006 · 5 yrs 11 mos
Sunamerica Securities, INC.Broker
December 1996 - October 2005 · 8 yrs 10 mos
American Express Financial Advisors INC.Broker
May 1989 - December 1996 · 7 yrs 7 mos
Ids Life Insurance CompanyBroker
May 1989 - December 1996 · 7 yrs 7 mos
State Registrations22 states
AZCADCHIIDILINMAMDMEMNMONCNHNJNVNYPATNTXVAWA
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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