Steven Novotny
Steven Novotny is a CFP-designated registered investment advisor at LPL Financial LLC, based in Albany, NY, with 25 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
18 Corporate Woods Blvd Fl 2, Albany, NY, 12211
Get directionsHistory
Regulatory History (1)
Customer Dispute
March 2009Other Business ActivitiesSells Insurance
Steven is a notary since 2005 and involved in non-variable insurance activities since 2001. He also operates under Rosemont Financial Group as a DBA for his LPL business, dedicating about a quarter of his time to it.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
AXA Advisors, LLC
AXA Advisors, LLCBroker
State Registrations23 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.
Exams
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