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Steven Rockwell

LPL Financial LLC
22 Years of Experience
Westerville, OH
BrokerSells Insurance
View SEC Summary
View SEC Summary

Steven Rockwell is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Westerville, OH, with 22 years of industry experience. Steven 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
28129 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

575 Copeland Mill Rd. Suite 2E, Westerville, OH, 43081

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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

Steven operates Rockwell Financial Partners and RWM Wealth Advisors as DBAs for his LPL business. He is also the CEO of a non-variable insurance business and co-owner of a real estate rental property, dedicating minimal time to the latter.

Employment History
Current Registrations
LPL Financial LLCBroker
October 2022 - Present · 4 yrs
LPL Financial LLC
October 2022 - Present · 4 yrs
Previous Registrations
Edward Jones
December 2013 - October 2022 · 8 yrs 10 mos
Edward JonesBroker
December 2013 - October 2022 · 8 yrs 10 mos
The Huntington Investment Company
July 2010 - October 2013 · 3 yrs 3 mos
The Huntington Investment CompanyBroker
July 2010 - October 2013 · 3 yrs 3 mos
Prudential Financial Planning Services
November 2008 - June 2010 · 1 yr 7 mos
Pruco Securities, LLC.Broker
June 2008 - June 2010 · 2 yrs
Chase Investment Services CORP.Broker
July 2005 - June 2008 · 2 yrs 11 mos
Chase Investment Services CORP.
July 2005 - June 2008 · 2 yrs 11 mos
Banc One Securities Corporation
September 2004 - July 2005 · 10 mos
Banc One Securities CorporationBroker
August 2004 - July 2005 · 11 mos
Pruco Securities, LLC.Broker
February 2004 - August 2004 · 6 mos
State Registrations18 states
AZCACOFLGAIDILKYMDMIMNMONYOHPASCVAWA
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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