Steven Small
Steven Small is a registered investment advisor at LPL Financial LLC, based in Napoleon, OH, with 35 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
1036 Chelsea Avenue, Napoleon, OH, 43545-1202
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Steven has several business activities, including operating under DBAs Northwest Capital Financial Group and Claridence Wealth for his LPL business. He also sells fixed annuities, term life, and universal life insurance through various insurance companies and is an IAR for Independent Advisor Alliance, spending nearly full-time on these activities.
Employment History
Current Registrations
LPL Financial LLC
Independent Advisor Alliance, LLC
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Independent Financial Partners
LPL Financial LLC
Natcity Insurance Services, INC.Broker
Liberty Securities CorporationBroker
Natcity Investments, INC.Broker
Independent Financial Securities, INC.Broker
National City Investments CorporationBroker
Smith Barney Shearson INC.Broker
Lehman Brothers INC.Broker
Prudential Securities IncorporatedBroker
Pruco Securities CorporationBroker
The Prudential Insurance Company of AmericaBroker
Lehman Brothers INC.Broker
State Registrations6 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.