Stephen Lococo
Stephen Lococo is a registered investment advisor at Footprints Asset Management & Research, INC., based in Omaha, NE, with 45 years of industry experience. Stephen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 100 clients with $42M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $100K | 2.00% |
| $100K - $500K | 1.75% |
| $500K - $1.0M | 1.50% |
| $1M+ | 1.00% |
Minimum of $200,000 of assets per account is recommended, but it is negotiable. Discounts may be offered to staff, family members, and friends of associated persons.
Fee Estimator
Location
11422 Miracle Hills Drive, Ste. 208, Omaha, NE, 68154
Get directionsHistory
Regulatory History (3)
Employment Separation After Allegations
June 2003Customer Dispute
October 1989Customer Dispute
June 1988Other Business Activities
Stephen owns Midtown Body and Paint Shop since 1982 and is also the owner and advisor of Footprints Asset Management, an investment advisory firm, dedicating full-time hours to the latter. Additionally, Stephen is on the board of directors of Wegener Corp, a public company, spending minimal time on this role.
Employment History
Current Registrations
Footprints Asset Management & Research, INC.
Previous Registrations
Gvc Capital LLCBroker
Smith Hayes Advisers INC
Smith Hayes Financial Services CorporationBroker
Kirkpatrick, Pettis, Smith, Polian INC.Broker
Painewebber IncorporatedBroker
First Mid-America INC.Broker
State Registrations3 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.