Stephen Riordan
Stephen Riordan is a registered investment advisor at LPL Financial LLC, based in Scottsdale, AZ, with 27 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
7138 E. Thunderbird Road, Scottsdale, AZ, 85254
Get directionsHistory
Regulatory History (1)
Customer Dispute
May 2002Other Business Activities
Stephen operates under the DBA BMO Investment Services for his LPL business. This activity is investment-related.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
BMO Harris Financial Advisors, INC.Broker
BMO Harris Financial Advisors, INC
M&i Financial Advisors, INC.
M&i Financial Advisors, INCBroker
Wells Fargo Brokerage Services, L.L.C.Broker
Wells Fargo Investments, LLCBroker
UBS Painewebber INC.Broker
Norwest Investment Services, 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.