TrueAdvisor
TrueAdvisor
DS
CFP
DS
CFP

Daniel Stewart

LPL Financial LLC
28 Years of Experience
Springfield, IL
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Daniel Stewart is a CFP-designated registered investment advisor at LPL Financial LLC, based in Springfield, IL, with 28 years of industry experience. Daniel 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
—
View Full SEC Brochure

Location

430 E Vine St, Springfield, IL, 62703

Get directions

History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
August 2019
Final
Customer Dispute
October 2005
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Daniel operates under the DBA Forsyth Financial Services for his LPL business. He also has a small ownership stake in Forsyth Insurance Group, Inc., sells non-variable insurance, and owns multiple rental real estate properties.

Employment History
Current Registrations
LPL Financial LLCBroker
October 2018 - Present · 8 yrs
LPL Financial LLC
October 2018 - Present · 8 yrs
Previous Registrations
Cetera Advisor Networks LLC
March 2011 - October 2018 · 7 yrs 7 mos
Cetera Advisor Networks LLCBroker
March 2011 - October 2018 · 7 yrs 7 mos
MML Investors Services, INC.Broker
August 2009 - December 2010 · 1 yr 4 mos
PFS Investments INC.Broker
February 2005 - August 2009 · 4 yrs 6 mos
AXA Advisors, LLC
December 1999 - January 2005 · 5 yrs 1 mo
AXA Advisors, LLCBroker
May 1997 - January 2005 · 7 yrs 8 mos
The Equitable Life Assurance Society of the United StatesBroker
May 1997 - January 2000 · 2 yrs 8 mos
State Registrations9 states
CAFLIAILINMOTNVTWI
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.
More Advisors
More financial advisors in Springfield, IL →All financial advisors in Illinois →