Stephen Williams
Stephen Williams is a registered investment advisor at LPL Financial LLC, based in Ontario, CA, 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
Ontario, CA
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Regulatory History
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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Stephen sells non-variable insurance, dedicating minimal time to it. He is also a business owner of World's Best Pizza Inc (a few hours per week), works in tax preparation/accounting/CPA at GYL LLP (about 10-20% of his time), and runs Carlon Wealth Advisors as a DBA for LPL business (full-time).
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Cetera Advisors LLCBroker
Cetera Investment Advisers LLC
First Allied Securities, INC.Broker
First Allied Advisory Services, INC.
AXA Advisors, LLC
AXA Advisors, LLCBroker
The Equitable Life Assurance Society of the United StatesBroker
State Registrations2 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.