Stephen Braatz
Stephen Braatz is a registered investment advisor at LPL Financial LLC, based in Oakdale, MN, with 18 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
Location
910 Inwood Ave N, Oakdale, MN, 55128
Get directionsHistory
Regulatory History (3)
Customer Dispute
September 2013Customer Dispute
June 2013Customer Dispute
November 2012Other Business Activities
Stephen owns rental property in Woodbury, MN with his spouse, dedicating minimal time to it. He also serves as Board Chair for a family ministry non-profit, spending minimal time on this activity.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
RBC Capital Markets, LLCBroker
RBC Capital Markets, LLC
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Investments, LLC
Wells Fargo Investments, LLCBroker
Morgan Stanley Smith Barney LLC
Morgan Stanley Smith BarneyBroker
Citigroup Global Markets INC.Broker
State Registrations34 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.
Exams
More Advisors
- Ryan Lewis, CFPLPL Financial LLC
- Michael HaasLPL Financial LLC
- Paul HoghaugLPL Financial LLC
- Eric WenzelLPL Financial LLC
- Daniel GuibertLPL Financial LLC
- Tyler Henrichs, CFP, ChFCStrategic Advisers LLC