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Stephen Gray

LPL Financial LLC
36 Years of Experience
Spokane, WA
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Stephen Gray is a registered investment advisor at LPL Financial LLC, based in Spokane, WA, with 36 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

1304 W. College Ave, Suite A, Spokane, WA, 99201

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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
January 2005
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Stephen is associated with Purpose Financial Advisors, LLC as a DBA for LPL business, dedicating full-time hours. He also has a business entity, Stephen E Gray, LLC, for tax purposes, requiring minimal time, and is involved with College Project, LLC for real estate rental. Stephen is also associated with Mariner Insurance Resources selling non-variable insurance, dedicating minimal time.

Employment History
Current Registrations
LPL Financial LLC
December 2012 - Present · 13 yrs 10 mos
LPL Financial LLC
December 2012 - Present · 13 yrs 10 mos
LPL Financial LLCBroker
December 2012 - Present · 13 yrs 10 mos
Previous Registrations
Ing Financial Partners, INC.Broker
January 2011 - December 2012 · 1 yr 11 mos
Ing Financial Partners, INC
January 2011 - December 2012 · 1 yr 11 mos
Ing Financial Advisers, LLC
July 2000 - January 2011 · 10 yrs 6 mos
Aetna Financial Services, INC.Broker
January 2000 - September 2000 · 8 mos
Ing Financial Advisers, LLCBroker
October 1993 - January 2011 · 17 yrs 3 mos
Systematized Benefits Administrators, INC.Broker
July 1993 - October 1993 · 3 mos
Aetna Life Insurance and Annuity CompanyBroker
April 1990 - October 1993 · 3 yrs 6 mos
State Registrations13 states
AKAZCACOGAIDMIMTNVORTXVAWA
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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