Steven Spanton
Steven Spanton is a registered investment advisor at LPL Financial LLC, based in Colorado Springs, CO, with 36 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
3535 American Drive, Innovative Fin. Mgmt, Colorado Springs, CO, 80917
Get directionsHistory
Regulatory History (1)
Customer Dispute
August 2001Other Business ActivitiesSells Insurance
Steven operates Innovative Financial Management under a DBA. He also sells non-variable insurance through ASH Brokerage, dedicating minimal time, and owns Spanton Enterprises, a real estate rental business, also dedicating minimal time.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Wells Fargo Investments, LLC
Wells Fargo Investments, LLCBroker
First Union Securities, INC.Broker
U.S. Bancorp Piper Jaffray INC.Broker
State Registrations28 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.