Steven Dias is a registered investment advisor at LPL Financial LLC, based in Swanton, VT, with 20 years of industry experience. Steven 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
Location
15 Canada St, Swanton, VT, 05488
Get directionsHistory
Regulatory History (1)
Criminal
March 1999Other Business Activities
Steven operates under the DBA Wilmington Advisors @M&T for his LPL business. This activity is investment-related and occurs at his reported business location.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Citizens Securities, INC.
Citizens Securities, INC.Broker
TD Ameritrade, INC.
TD Ameritrade Investment Management, LLC
TD Ameritrade, INC.Broker
Newbridge Securities CorporationBroker
Gunnallen Financial, INCBroker
Lion's Group Trading LLCBroker
J.P. Turner & Company, L.L.C.Broker
State Registrations12 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.