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Stephen Walker

LPL Financial LLC
56 Years of Experience
San Antonio, TX
1 DisclosureBroker
View SEC Summary
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Stephen Walker is a registered investment advisor at LPL Financial LLC, based in San Antonio, TX, with 56 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
—
View Full SEC Brochure

Location

11919 Jones Maltsberger Rd, San Antonio, TX, 78216

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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
August 2012
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Stephen operates his LPL business through Walker Alston Financial Group. He also co-owns La Gloria Investments LLC and SEW Pecan, LLC, and owns La Gloria LTD, all for tax/investment purposes, dedicating minimal time to each.

Employment History
Current Registrations
LPL Financial LLC
March 2023 - Present · 3 yrs 7 mos
LPL Financial LLCBroker
March 2023 - Present · 3 yrs 7 mos
Previous Registrations
Securities America, INC.Broker
August 2017 - March 2023 · 5 yrs 7 mos
Securities America Advisors, INC.
August 2017 - March 2023 · 5 yrs 7 mos
The Quantitative Group, L.P.
September 2005 - November 2007 · 2 yrs 2 mos
Wfg Investments, INC.Broker
July 2004 - August 2017 · 13 yrs 1 mo
Wfg Advisors, LP
July 2004 - August 2017 · 13 yrs 1 mo
Citigroup Global Markets INC.
June 1994 - July 2004 · 10 yrs 1 mo
Citigroup Global Markets INC.Broker
June 1994 - July 2004 · 10 yrs 1 mo
Prudential Securities IncorporatedBroker
September 1977 - July 1994 · 16 yrs 10 mos
Bache Halsey Stuart INC.Broker
August 1976 - September 1977 · 1 yr 1 mo
Bache & CO IncorporatedBroker
February 1976 - August 1976 · 6 mos
Bache & CO., IncorporatedBroker
August 1973 - February 1976 · 2 yrs 6 mos
Dupont Walston, IncorporatedBroker
August 1970 - August 1973 · 3 yrs
State Registrations20 states
ARCACOFLGAIAILKSLAMAMEMSNJNYOKTXUTVAVirgin IslandsWI
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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