Stephen Locker
Stephen Locker is a CFP-designated registered investment advisor at LPL Financial LLC, based in Warren, NJ, with 34 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
101 Town Center Dr Ste 111, Warren, NJ, 07059
Get directionsHistory
Regulatory History (3)
Customer Dispute
April 2007Customer Dispute
December 2006Customer Dispute
December 1999Other Business ActivitiesSells Insurance
Stephen is involved in several business activities, including Lock23 LLC (for tax/investment purposes), Universal Insurance Services (selling life, disability, and LTC insurance), real estate rental, and Beacon Financial Group (DBA for LPL business). Selling insurance and managing these activities takes minimal time during securities trading hours.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
Investacorp Advisory Services INC
Investacorp, INC.Broker
Linsco/private Ledger CORP.Broker
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
State Registrations43 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.