Stephen Rouse is a registered investment advisor at LPL Financial LLC, based in Mission Viejo, CA, with 9 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
26941 Crown Valley Parkway, Mission Viejo, CA, 92691
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Stephen is affiliated with BMO Investment Services as a DBA for LPL business and works for BMO Bank NA as a Premier Banker. He spends about half his time on these activities, with 4 hours per month during securities trading hours.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Bancwest Investment Services, INC. (bwis)
Bancwest Investment Services, INC.Broker
Wells Fargo Advisors, LLCBroker
Wells Fargo Investments, LLCBroker
Wells Fargo Investments, LLCBroker
Wells Fargo Investments, LLC
Morgan Stanley
Morgan Stanley Dw INC.Broker
State Registrations1 state
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.