Stephen Lee
Stephen Lee is a registered investment advisor at LPL Financial LLC, based in Sacramento, CA, with 26 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
8880 Cal Center Dr, Ste 400, Sacramento, CA, 95826
Get directionsHistory
Regulatory History (2)
Regulatory
March 2016Regulatory
August 2015Other Business ActivitiesSells Insurance
Stephen works as an insurance agent selling insurance for various insurance carriers through W&R Insurance Agencies since 2015. This activity is investment-related.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Waddell & ReedBroker
Waddell & Reed
J.P. Morgan Securities LLCBroker
J.P. Morgan Securities LLC
Chase Investment Services CORP.Broker
Chase Investment Services CORP.
Wamu Investments, INC.
Wamu Investments, INC.Broker
AXA Advisors, LLC
AXA Advisors, LLCBroker
Mas Capital Securities, INC.Broker
Charles Schwab & CO., INC.Broker
Painewebber IncorporatedBroker
State Registrations4 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.