Steven Dawson
Steven Dawson is a registered investment advisor at LPL Financial LLC, based in Kingston, NY, with 32 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
243 Wall St, Kingston, NY, 12401
Get directionsHistory
Regulatory History (2)
Customer Dispute
October 2002Customer Dispute
October 2001Other Business Activities
Steven operates under the DBA Safety Harbor Financial in Saugerties, NY, since 2009.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Prudential Securities IncorporatedBroker
Smith Barney INC.Broker
Lehman Brothers INC.Broker
State Registrations13 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.