Stephen Sugai is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Waialua, HI, with 52 years of industry experience. Stephen 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
Waialua, HI
Get directionsHistory
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.