Kathleen Stephens is a registered investment advisor at LPL Financial LLC, based in Poway, CA, with 14 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
12975 Brookprinter Place Suite 130, Poway, CA, 92064
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Kathleen operates under two DBAs, Golden State Wealth Management and Solaris Wealth Management, for her LPL business. She provides investment advisory services through Golden State Wealth Management LLC, spending a full-time amount of time on this activity.
Employment History
Current Registrations
LPL Financial LLCBroker
Golden State Wealth Management, LLC
Previous Registrations
Edward JonesBroker
Edward Jones
Signator Investors, INC.
Signator Investors, INC.Broker
Edward Jones
Edward JonesBroker
State Registrations8 states
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