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Paul Stephens

LPL Financial LLC
33 Years of Experience
Bloomfield Hills, MI
Broker
View SEC Summary
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Paul Stephens is a registered investment advisor at LPL Financial LLC, based in Bloomfield Hills, MI, with 33 years of industry experience. Paul 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
—
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Location

7 West Square Lake Road, Bloomfield Hills, MI, 48302

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History

Regulatory History
Clean regulatory record

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.

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Other Business Activities

Paul uses Retirement Consulting Solutions as an entity for tax purposes only. He also provides financial planning and consulting services through Institutional Investment Consulting (IIC), dedicating nearly full-time hours to this activity.

Employment History
Current Registrations
LPL Financial LLC
November 2013 - Present · 12 yrs 11 mos
LPL Financial LLC
November 2013 - Present · 12 yrs 11 mos
LPL Financial LLCBroker
November 2013 - Present · 12 yrs 11 mos
Iic
September 2013 - Present · 13 yrs 1 mo
Previous Registrations
Cantella & CO., INC.
December 2007 - November 2013 · 5 yrs 11 mos
Cantella & CO., INC.Broker
December 2007 - November 2013 · 5 yrs 11 mos
Comerica Securities
May 2004 - November 2007 · 3 yrs 6 mos
Comerica SecuritiesBroker
February 2004 - November 2007 · 3 yrs 9 mos
Raymond James & Associates, INC.Broker
June 1998 - August 2002 · 4 yrs 2 mos
Roney & CO.Broker
May 1998 - September 1999 · 1 yr 4 mos
Roney & CO. L.L.C.Broker
August 1996 - May 1998 · 1 yr 9 mos
Painewebber IncorporatedBroker
December 1993 - August 1996 · 2 yrs 8 mos
Dean Witter Reynolds INC.Broker
March 1992 - December 1993 · 1 yr 9 mos
State Registrations11 states
CACTDEIDMIMNNYPATXUTWA
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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