Stephen Sugai is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Waialua, HI, with 51 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
Waialua, HI
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Regulatory History (1)
Customer Dispute
June 1985Other Business Activities
Stephen operates his LPL business under The Advisers Group DBA. This activity requires minimal time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Lincoln Financial Securities Corporation
Lincoln Financial Securities CorporationBroker
Signator Investors, INC.
Signator Investors, INC.Broker
Pruco Securities CorporationBroker
Sun Investment Services CompanyBroker
Royal Alliance Associates, INC.Broker
Integrated Resources Equity CorporationBroker
Abel-Behnke CorporationBroker
Travelers Equities Sales, INC.Broker
Equity Funding Securities CORPBroker
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.