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CFP
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CFP

Stephen Rogers

LPL Financial LLC
24 Years of Experience
Columbus, OH
1 DisclosureBroker
View SEC Summary
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Stephen Rogers is a CFP-designated registered investment advisor at LPL Financial LLC, based in Columbus, OH, with 24 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.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

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
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Columbus, OH

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2025
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLCBroker
March 2026 - Present · 7 mos
LPL Financial LLC
March 2026 - Present · 7 mos
Previous Registrations
LPL Financial LLC
August 2019 - March 2025 · 5 yrs 7 mos
LPL Financial LLCBroker
August 2019 - March 2025 · 5 yrs 7 mos
Voya Financial Advisors, INC.
November 2004 - August 2019 · 14 yrs 9 mos
Voya Financial Advisors, INC.Broker
November 2004 - August 2019 · 14 yrs 9 mos
Mony Securities Corporation
July 2003 - November 2004 · 1 yr 4 mos
Mony Securities CorporationBroker
July 2001 - November 2004 · 3 yrs 4 mos
State Registrations2 states
FLOH
AdvisorBrokerBoth

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
No exam information available for this advisor.
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