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CFP
SB
CFP

Stephanie Bolles

LPL Financial LLC
24 Years of Experience
Des Moines, IA
BrokerSells Insurance
View SEC Summary
View SEC Summary

Stephanie Bolles is a CFP-designated registered investment advisor at LPL Financial LLC, based in Des Moines, IA, with 24 years of industry experience. Stephanie 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
—
View Full SEC Brochure

Location

2323 Grand Ave Ste 210, Des Moines, IA, 50312

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History

Regulatory History
Clean regulatory record

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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Other Business ActivitiesSells Insurance

Stephanie operates SA3 Wealth as a DBA for her LPL business, dedicating full-time hours to it. She also owns The Dwarf Depot, an entity involved in produce, eggs, and livestock breeding, taking about a quarter of her time, and co-owns residential real estate rentals, requiring minimal time.

Employment History
Current Registrations
LPL Financial LLC
December 2023 - Present · 2 yrs 10 mos
LPL Financial LLC
December 2023 - Present · 2 yrs 10 mos
LPL Financial LLCBroker
December 2023 - Present · 2 yrs 10 mos
Previous Registrations
Securities America, INC.Broker
January 2013 - December 2023 · 10 yrs 11 mos
Securities America Advisors, INC.
January 2013 - December 2023 · 10 yrs 11 mos
Householder Group Financial Advisors, LLC
July 2010 - January 2013 · 2 yrs 6 mos
Securities Service Network, INC.Broker
April 2010 - January 2013 · 2 yrs 9 mos
Sammons Securities Company, LLCBroker
August 2009 - April 2010 · 8 mos
Woodbury Financial Services, INC.Broker
April 2003 - August 2009 · 6 yrs 4 mos
Simmers Capital Management CorporationBroker
January 2002 - April 2003 · 1 yr 3 mos
State Registrations14 states
ALAZCACOFLIAILKSMIMNNCOHTXWI
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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