Harlan Stephens is a registered investment advisor at LPL Financial LLC, based in Spearfish, SD, with 19 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
140 E Jackson Blvd, Spearfish, SD, 57783
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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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Harlan is a dual employee of LPL Financial LLC since 2007. He also operates under the DBA Pioneer Wealth Management for his LPL business, dedicating full-time hours to it, and has a financial institution duty with Pioneer Bank & Trust, spending minimal time on securities trading.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
A. G. Edwards & Sons, INC.
A. G. Edwards & Sons, INC.Broker
State Registrations39 states
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.